FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA, State Regulators Accused of Letting Sensitive Data Go Public
By Benjamin BainState regulators made Social Security numbers accessible for years, a whistle-blower says.
March 20, 2018
FINRA360 Progress Report, Exam Consolidation Decision Coming Soon: FINRA CEOFINRA will decide this year whether to consolidate its current three exam programs, said CEO Robert Cook.
March 09, 2018
FINRA Updates Business Continuity, Disaster Recovery GuidanceFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.
March 07, 2018
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award"My outlook for retirement: working many years into my late 60s," said Bruce Wilkerson, now a machinist.
March 06, 2018
Bill Requires FINRA to Foot Unpaid Arb BillsSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 01, 2018
Sen. Warren Leads Query to SEC, FINRA on Sexual Harassment in FinanceThree female senators are probing the SEC and FINRA on how widespread sexual harassment is in the financial services sector.
March 01, 2018
Why Has the Number of FINRA Firms Declined?Many of the firms that left shouldn't have been in business in the first place, Susan Axelrod says.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.