FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA to Issue Exam Trouble Spots Report
By Melanie WaddellFINRA will provide firms with a "new report that will summarize key examination findings from across our programs," said CEO Robert Cook.
May 11, 2017
FINRA to Clamp Down on High-Risk Brokers With Tougher RulesThe group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
May 10, 2017
Robert Cook — BD Regulator in Chief: The 2017 IA 25While FINRA stands ready to fill advisor exam gap, Cook is unlikely to initiate a new battle for advisor oversight, says an ex-FINRA enforcement chief.
May 05, 2017
FINRA Mulls Heightened Oversight of High-Risk BrokersAt its May 10 meeting, the board also plans to consider issuing more guidance on unpaid arb awards.
May 05, 2017
SEC, FINRA to Host BD Compliance Outreach SymposiumTopics range from cybersecurity to investing by seniors.
April 20, 2017
FINRA Senior Helpline Marks Anniversary With $4.3M in ReimbursementsSince helpline launched two years ago, FINRA staff have referred nearly 650 matters to state, federal and foreign regulators.
April 13, 2017
FINRA Seeks Comment on Capital Raising, Underwriting, Research ReportsThe requests are part of the FINRA360 initiative.
April 10, 2017
FINRA Updates Sanction Guidelines to Include Vulnerable IndividualsFINRA's revised guidance also covers sanctions imposed by other regulators.