FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Citigroup to Pay $15M FINRA Fine Over Research Leaks
By Melanie WaddellAnalysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
November 17, 2014
FINRA Proposes Pay-to-Play RulesFINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
November 14, 2014
SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme HaltedMeanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
November 11, 2014
Are Changes Coming to FINRA Exams?At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
October 30, 2014
FINRA Names Berry Head of ArbitrationFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 27, 2014
What to Do When the Examiners Visit Your PracticeAdvisors love to learn from other advisors, which is why about 75 of them showed up early for a compliance session at Commonwealth's national conference.
October 14, 2014
Rep. Garrett to FINRA: Hold Off on CARDSAfter a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed, Rep. Garrett says.
October 14, 2014
The Bizarre Recruiting Case of Alfonso MontoyaA $150 million book of business Wells Fargo promised him never materialized and then the wirehouse took him to arbitration.