FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
New FINRA Broker Bonus Rule Out ‘Fairly Soon’: Ketchum
By Melanie WaddellThe FINRA CEO also told ThinkAdvisor at a SIFMA conference that "CARDS as it exists now is unlikely to move forward."
March 04, 2015
New FINRA Rule to Have ‘Detrimental Impact’ on Arb Process: SutherlandThe rule, just approved by the SEC, could cause a shortage of public arbitrators, a lawyer says.
February 20, 2015
FINRA’s 5 biggest fine categories in 2014Fines involving seniors and retirees went through the roof compared with 2013, with restitution in these cases leaping from $1.7 million to $26 million.
February 19, 2015
SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect MatchThe SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 11, 2015
FINRA Hires SEC Data Analytics Guru Kurtas for New PostKurtas will focus on improving how FINRA analyzes and uses the data it currently gathers from firms, the self-regulator says.
February 06, 2015
SEC, FINRA Enforcement: Ex-Barclays Analyst, 3 Others Fined for Insider TradingMeanwhile, FINRA has fined Bloomberg Tradebook on short sale violations.
February 03, 2015
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA ReportsBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.