FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
By Melanie WaddellThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 12, 2015
FINRA Doubles Length of Suitability Suspensions, Toughens Fraud SanctionsFINRA says it will be tougher on those committing fraud or making unsuitable recommendations and will increase suspensions for breaking suitability rules.
May 12, 2015
FINRA Arb Panel Grants $500K to Ex-Morgan Stanley RepThe advisor, now with FiNet, said the firm had pushed him out and tainted his reputation.
May 08, 2015
SEC, FINRA Enforcement: Former Wilmington Trust Officers Charged With FraudMeanwhile, FINRA censured, fined First New York Securities for inadequate insider trading procedures
May 06, 2015
LPL to Pay $12M FINRA Fine for Failing to Supervise SalesFINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
FINRA’s Ketchum Criticizes DOL Fiduciary PlanFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.