FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s 6 Steps to Recovery for Fraud Victims
By Janet LevauxThe industry group outlines the details of what investors can do after being affected by financial crime.
March 21, 2017
FINRA Seeks Broker-Dealer Comments on Its ProgramsA special notice, part of the FINRA360 initiative, asks for feedback by May 5.
March 20, 2017
FINRA Hires Senior Advisor to CEO CookNathaniel Stankard will provide advice on such issues as FINRAs strategic review of its operations.
March 17, 2017
FINRA Plays ‘Gotcha’ With Brokers, Short-Changes Investors: Hester PeirceThe former nominee for SEC commissioner tells ThinkAdvisor why the SEC is a better regulator than FINRA and what's wrong with Dodd-Frank.
March 10, 2017
FINRA Floats Plan to Streamline Competency ExamsFINRA wants to revise exam structure to eliminate "duplicative testing and barriers to demonstrating and maintaining qualifications."
March 03, 2017
FINRA’s 5 Biggest Fine Categories in 2016Fines ordered by FINRA in 2016 shattered the self-regulators previous record from 2014, Eversheds Sutherland found.
March 01, 2017
FINRA Bars Rep for $15M of ‘Unsuitable Trades’ in Retiree AccountThe client was a longtime Colgate-Palmolive employee who lost dividends and paid $375,000 in markups and other fees.
February 27, 2017
FINRA Launches New TRACE Data Product for AcademicsThe Academic Corporate Bond TRACE Data product is an enhanced version of historical TRACE data that includes masked dealer identities.