FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Plan Would Unleash 'Rogue Brokers,' Lawyers Say
By Melanie WaddellProposal to free BDs from liability for advisors' outside activities is one of FINRA's worst ever, lawyer Stoltmann says.
September 27, 2018
FINRA's New Competency Exams Start MondayFINRA is also eliminating 7 of its 16 rep-level exams.
September 25, 2018
FINRA's Top 5 Fine Categories in First Half of 2018Restitution is down significantly from 2017, according to Eversheds Sutherland's midyear analysis of FINRA disciplinary actions.
September 24, 2018
FINRA Files to Update CAB RuleThis is the second rule amendment FINRA has issued to conform with FinCEN's customer due diligence requirements.
September 21, 2018
FINRA Bars Ex-Stifel Rep for Using Elderly Client's Funds for Camp, HOA Fees: EnforcementAlso, SeaWorld will pay a fine for misleading investors about the financial impact of a documentary.
September 19, 2018
Regulators Warn of Hurricane Florence-Related Scams"When a natural disaster strikes, it's not uncommon for scammers to rush in," said FINRA's Walsh, as self-regulator released Investor Alert.
September 12, 2018
FINRA Releases FAQ on New Competency ExamThe exam changes take effect on Oct. 1.
September 11, 2018
FINRA Issues Its First Cryptocurrency Disciplinary ActionTimothy Tilton Ayre and HempCoin are in regulator sights for alleged securities fraud and unlawful distribution of a cryptocurrency.