FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
LPL Hit With $2.75M FINRA Fine Over Cyber Infractions
By Elizabeth FestaFINRA found fault with LPL's AML program.
November 02, 2018
How to Avoid the Dreaded 8210 Letter From FINRABeing proactive, and using technology, can help you avoid a full-on FINRA investigation.
October 30, 2018
FINRA Fines LPL $2.75M Over Complaint Reporting, AML IssuesFINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.
October 26, 2018
Advisors Force Wells Fargo Into FINRA Arbitration Over Loss of BusinessThey face steep odds against the wirehouse, but if they succeed, the floodgates could open.
October 25, 2018
FINRA Files to Add New Restrictions on Departing EmployeesThe broker-dealer self-regulator's proposed rule change is meant "to deal with revolving door concerns," says Eversheds Sutherland's Rubin.
October 24, 2018
Morgan Stanley Fight Shows How Firms Smear Exiting AdvisorsDale Cebert fought back and it cost him nearly $2 million in legal fees, but most advisors can't afford to clear their names.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 08, 2018
FINRA Board OKs Longer Arb Response TimeThe board also approved Regulatory Notices seeking comment on expanded trade reporting and margin requirements.