FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play Activities
By Melanie WaddellGovernment plan solicitors can continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime, says Cipperman.
October 20, 2017
FINRA Ready to Provide ‘Technical’ Aid on Fiduciary Rule, Legal Chief SaysFINRA has a "good working relationship" with Labor and SEC and is ready to help with coordinating a rule, Chief Legal Officer Robert Colby says.
October 18, 2017
FINRA Seeks Comments on Changes in Arbitration RulesOne amendment seeks to help further address the issue of unpaid customer arbitration awards, says FINRA's Berry
October 16, 2017
FINRA Orders Wells Fargo to Pay $3.4M Over Volatility-Linked ETPsReps recommended the exchange-traded products without fully understanding their risks, FINRA said.
October 11, 2017
FINRA Warns Investors About Fake Financial DesignationsThe alphabet soup of designations can be used to perpetrate fraud, FINRA warns.
October 06, 2017
FINRA Plans BrokerCheck Changes, Remote ExamsThe regulator also set Oct. 1, 2018, as the effective date for its streamlined competency exams.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.