FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Deutsche Bank, JPMorgan Among Firms Fined $4.75M for Market Access Violations
By Melanie WaddellThe firms violated various provisions of the SECs Market Access Rule and related exchange supervisory rules.
July 22, 2017
Wells Fargo Shares Private Info on 50,000 Clients and Advisors: ReportThe data release includes clients' portfolio and asset information, as well as FA compensation and client lists, according to The New York Times.
July 21, 2017
FINRA Advances Crackdown on Bad BrokersFINRA also wants the SEC to allow the SRO to expand its pool of non-arbitrators.
July 17, 2017
FINRA Fines Edward Jones for Supervisory FailuresThe broker-dealer issued some 52 million client reports without required supervision, the regulator says.
July 07, 2017
FINRA Earnings Rise as Fines SoarFines rise 85%; pay stays close to $1 million and higher for at least four execs.
June 29, 2017
Travelers’ Heyman Named FINRA Board ChairHeyman succeeds former Vanguard CEO John J. Jack Brennan.
June 16, 2017
Las Vegas Firm Busted in Phony LGBT Resort Scam: EnforcementIn other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
June 13, 2017
FINRA Launches Innovation Outreach InitiativeFINRA has established an Innovation Outreach Initiative in an effort to better understand how advances in financial technology affect the industry.