FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Edward Jones for Supervisory Failures
By Janet LevauxThe broker-dealer issued some 52 million client reports without required supervision, the regulator says.
June 16, 2017
Las Vegas Firm Busted in Phony LGBT Resort Scam: EnforcementIn other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
June 13, 2017
FINRA Launches Innovation Outreach InitiativeFINRA has established an Innovation Outreach Initiative in an effort to better understand how advances in financial technology affect the industry.
June 13, 2017
FINRA’s Axelrod Warns Financial Industry: Adapt or DieIndustry must meet millennials tech needs if we want to avoid the looming succession cliff.
June 12, 2017
FINRA to Release More Guidance on Bad BrokersAt Georgetown event, CEO Cook says FINRA will give firms a better understanding of expectations on identifying high-risk brokers.
June 07, 2017
FINRA Bars Rep for Failing to Disclose $100 Million in EB-5 InvestmentsJim Seol failed to disclose his private business to Ameriprise for years, FINRA says.
June 06, 2017
FINRA Issues Hurricane Warning (for Investors)FINRA says to expect unsolicited faxes and spam about investments that exploit a variety of hurricane-related opportunities.
June 01, 2017
FINRA Bars Former Morgan Stanley Rep Over Venezuelan Bond TradesRep concealed approximately $190 million in Venezuelan bond trades from the firm.