FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Amended FINRA Customer Confirmations Rule Kicks In Monday
By Melanie WaddellAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
April 30, 2018
FINRA Issues Guidance, Seeks Comment on High-Risk BrokersThe regulator highlights instances when heightened supervision of brokers may be needed.
April 24, 2018
FINRA Releases FINRA360 Progress ReportFINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.
April 13, 2018
FINRA Sweeps BDs for Info on VIX-Linked ProductsThe exam sweep covers member firms and advisors selling these products between October 2017 and February 2018.
April 11, 2018
FINRA Hires New Exam Chief From SchwabBari Havlik replaces Susan Axelrod, who's headed to Merrill.
April 05, 2018
FINRA Updates AML Template for Small Broker-DealersThe update reflects small BDs' obligations under FINRA Rule 3310 in light of FinCEN's final rule on Customer Due Diligence Requirements for Financial Institutions.
March 30, 2018
Former Funding Portal DreamFunded Still in FINRA's CrosshairsThe ex-CEO's attorney said he was ill and couldn't produce documents, but his social media posts suggest otherwise.
March 29, 2018
Women Still Trail Men in Financial Knowledge: FINRAThe gap in financial literacy between boomer and Gen X men and women has not changed, but for millennials, that gap is narrowing.