FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker Charged With Illegally Accepting $1M in Cash Kickbacks: Enforcement
By Emily ZulzRaymond James and Merrill Lynch both receive million-dollar FINRA fines.
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.
November 30, 2017
FINRA to Revamp Exam ProgramFINRA is taking a broader look at our exam programs, CEO Robert Cook says.
November 29, 2017
FINRA Warns BDs of Impending AML Rule Compliance DeadlineThe regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
November 21, 2017
FINRA Slams J.P. Morgan Securities Over Background Check FailuresJ.P. Morgan Securities failed to conduct timely or adequate background checks on 95% of non-registered associated persons.
November 15, 2017
FINRA Board Rife With Conflicts: PIABAFINRAs board "has public board members who have very deep ties to the securities industry," said the lawyers' trade group.
November 09, 2017
FINRA Bars Broker Who Ripped Off Blind, Elderly WidowHank Mark Werner received commissions for recommending that a client purchase an unsuitable variable annuity.