FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD Must Repay Tribe $3.4M, Pay $750K FINRA Fine
By Janet LevauxAn advisor that sold $190 million in nontraded REITs and BDCs has yet to resolve charges with the regulator.
February 13, 2017
FINRA Mulls Allowing Performance Projections for Investing StrategiesAn amendment now out for comment would let firms illustrate the projected performance of a strategy or allocation but not an individual security.
February 08, 2017
FINRA Issues Status Report on Arb Task Force SuggestionsFINRA has taken action on 35 of 51 recommendations made in the Dispute Resolution Task Forces final report.
February 02, 2017
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond SalesRobert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.
January 27, 2017
How to (Legally) Settle Disputes With ClientsThese are the essential points in resolving a client dispute without suiting up for court or arbitration.
January 24, 2017
FINRA to Get Back to Basic ‘Blocking and Tackling,’ New CEO SaysFINRA hasn't been been listening well to its stakeholders, CEO Robert Cook says. I hope to change that.
January 20, 2017
FINRA Seeks Comment on BD Blockchain ImplementationFINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
January 20, 2017
FINRA Mulls Changing Its Rulemaking ProcessFINRA plans to ask BDs about what changes need to be made to its engagement and transparency policies including how it crafts rules.