FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks BD Feedback on How Regs Affect Fintech
By Melanie WaddellFINRA wants to know how its rules could be modified to support innovation.
July 16, 2018
Ami Forte, Ex-Morgan Stanley Star, Portrayed Falsely by Former Boss, Lawyer SaysForte's former branch manager was "bought off" by Morgan, her lawyer tells ThinkAdvisor.
July 13, 2018
Cloud Storage Helps FINRA Process 'Unprecedented' Amount of Market Activity"Our staff has access to petabytes of data in seconds or minutes," FINRA's tech chief says.
July 09, 2018
FINRA Wants Info on BDs' Digital Asset ActivityIn a just-released Reg Notice, FINRA wants BDs to "promptly notify" the self-regulator.
July 05, 2018
FINRA to Take Over Review of Public Records for Broker HiresBeginning July 9, FINRA will verify information provided by candidates for brokerage or investment advisor jobs, saving BDs time and money.
July 03, 2018
Here's How Much FINRA Execs Were Paid in 2017Total executive compensation is down slightly from a year earlier, FINRA reports.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.