FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Down 70% in First Half of 2017
By Melanie WaddellThese are the five biggest FINRA fine categories for the first half, according to Eversheds Sutherland.
September 12, 2017
FINRA Fines BD Over ‘Death Puts’The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. Kings hedge fund clients.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
August 22, 2017
JPMorgan Chase's Cutler Named FINRA Large Firm Board GovernorCambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.
August 21, 2017
FINRA Nominates Large, Small Firm Members for Disciplinary PanelSEC also approved amendments to FINRA customer and industry arbitration rules.
August 14, 2017
FINRA Expels Hallmark Investments, Bars CEOThe BD ran a scheme to sell stock to customers at fraudulently inflated prices, FINRA says.
August 07, 2017
Lawyer Tells What Really Goes On in FINRA ArbitrationKevin Galbraith tells ThinkAdvisor about online dating fraud, broker bonus disputes, Form U5 woes and other matters he brings before the FINRA panel.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.