FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Senior Protection Rules Kick In
By Melanie WaddellFINRAs rules will make brokers more confident of their ability to act without repercussions, but NASAAs model act goes further, says consumer advocate Barbara Roper.
January 29, 2018
FINRA Issues Roadmap on New Year PrioritiesBroker-dealers started the new year with a roadmap from the Financial Industry Regulatory Authority on what to expect during exams, as well as new rules that theyll be expected to comply with this year.
January 25, 2018
Broker Fined for Impersonating Rival With Online Sex AdsWhen an Edward Jones broker in California wanted to exact revenge on a rival, he went too far.
January 22, 2018
FINRA Launches Helpline for Small FirmsThe helpline is intended to help firms get faster answers on routine matters, CEO Robert Cook says.
January 18, 2018
FINRA’s Budget, Released for First Time, Shows Revenue ProblemsThe regulator plans to use cash reserves instead of raising fees to cover the shortfall.
January 12, 2018
FINRA Arbitrator Pool Shows Slow, Steady Increase in DiversityFINRA has greatly stepped up its efforts to recruit more women and minorities as arbitrators in the last two years, new data shows.
January 08, 2018
FINRA Releases Exam Priorities for 2018The regulator also discusses upcoming changes to its exam program and reminds firms of some important dates.