FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award
By Melanie Waddell"My outlook for retirement: working many years into my late 60s," said Bruce Wilkerson, now a machinist.
March 01, 2018
Why Has the Number of FINRA Firms Declined?Many of the firms that left shouldn't have been in business in the first place, Susan Axelrod says.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.
February 28, 2018
FINRA's Top 5 Fine Categories in 2017While restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…
February 16, 2018
FINRA Impersonators Are Scamming Investors, Regulator WarnsFINRA has released an Investor Alert on fraudsters using FINRAs name and logo in correspondence including a fake signature of CEO Cook.
February 14, 2018
FINRA Seeks Tougher Rules on Brokers Switching Firms With Unpaid Arb ClaimsProposed changes would allow FINRA to presumptively deny a new applicant subject to pending arbitration claims
February 09, 2018
Quarter of FINRA Arb Awards Went Unpaid in 2016FINRA said it plans to organize discussions with other regulators and policymakers to further address the issue of customer recovery.
February 05, 2018
FINRA Fines Wedbush $1.5M for Customer Protection, Net Capital Rule ViolationsThe BD failed to keep enough cash in reserves, FINRA says.