FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Orders Wells Fargo to Pay $3.4M Over Volatility-Linked ETPs
By Melanie WaddellReps recommended the exchange-traded products without fully understanding their risks, FINRA said.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
September 25, 2017
FINRA Fines Down 70% in First Half of 2017These are the five biggest FINRA fine categories for the first half, according to Eversheds Sutherland.
September 19, 2017
FINRA Releases Arbitrator Diversity Data for the First TimeThe move follows complaints that arb panels were skewed toward white men and a push by the regulator to add African-Americans and women.
September 18, 2017
Veterans Better Off Financially but Struggle With Debt: FINRAThe FINRA foundation says it has done the first comprehensive comparative analysis of the financial health of American veterans relative to non-veterans.
September 12, 2017
FINRA Fines BD Over ‘Death Puts’The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. Kings hedge fund clients.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.