FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
4 Regtech Challenges for BDs to Watch For: FINRA
By Melanie WaddellA new buzzword — suptech, or supervisory technology — is also coming into play.
August 28, 2018
FINRA Elects Three Governors to its BoardFSI is "pleased to see [Kovack will] spend another three years supporting the interests of our industry" and investors, said Dale Brown.
August 24, 2018
FINRA Bars Broker for Paying His Mortgage With Elderly Client's Money: EnforcementAlso, the SEC charged real estate investment companies with operating a $135 million fraud scheme.
August 20, 2018
BD Hit With $5.5M Fine Over Short SalesFINRA says Interactive Brokers "internally identified the problems, yet did not revise its supervisory systems for more than three years."
August 09, 2018
SEC Reg BI vs. Suitability: Here's the Difference, According to FINRA's CookSEC's advice proposals extend in "certain significant areas" the requirements for broker-dealers, Cook told senators.
August 09, 2018
Number of BDs, Reps Drops for Second Straight Year, New FINRA Report SaysSmall BDs "struggle with keeping up with burdensome FINRA requirements," recruiter Jon Henschen said.
August 06, 2018
Select Military Spouses to Receive Designation to Conduct Financial Counseling: FINRAThe FINRA Foundation Military Spouse Fellowship program participants will undergo rigorous training and gain hands-on experience — at no cost.
August 01, 2018
FSI Backs Kovack Securities Co-Founder for FINRA Board SeatIf elected, Brian Kovack would be serving a second term as midsize firm governor.