FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Axelrod Warns Financial Industry: Adapt or Die
By Melanie WaddellIndustry must meet millennials tech needs if we want to avoid the looming succession cliff.
June 06, 2017
FINRA Issues Hurricane Warning (for Investors)FINRA says to expect unsolicited faxes and spam about investments that exploit a variety of hurricane-related opportunities.
June 01, 2017
FINRA Bars Former Morgan Stanley Rep Over Venezuelan Bond TradesRep concealed approximately $190 million in Venezuelan bond trades from the firm.
May 31, 2017
FINRA Named CFP Board CE PartnerEffective immediately, nearly 60 of FINRA's e-learning courses will be eligible for CE credits for CFP professionals.
May 29, 2017
As Indie BDs Dwindle, Is FINRA Outdated?Brad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 23, 2017
Merrill to Pay Fine Over Trading, Disclosure IssuesMore than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
May 23, 2017
FINRA Elects Piper Jaffray’s Duff as Large-Firm GovernorDuff's "deep experience working with institutional and individual investors will be an invaluable asset to our deliberations, said FINRA CEO Cook.
May 17, 2017
FINRA Watching Falling Number of BDs, CEO Cook SaysAt FINRA annual, Cook talks about FINRA360 and the odds that FINRA will seek to become an advisor SRO.