FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Warns on Fake High-Interest CDs
By Melanie WaddellFINRA investor alert provides list of red flags that indicate a fraudulent CD offer.
May 20, 2014
FINRA’s ‘Total Warfare’ Against Brokers in ArbitrationBreakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA ‘Aggressively’ Seeking BD Feedback on CARDS: KetchumCEO Richard Ketchum defended the controversial automated data-collection system as an important investor protection tool but stressed that FINRA wanted to get it right.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 06, 2014
FINRA Fines Morgan Stanley $5M Over IPO Share SalesFINRA said Morgan Stanley had supervisory failures in initial public offerings for Facebook, Yelp and 81 others.
May 02, 2014
SEC OKs FINRA Rule to Limit Self-TradingSelf-trades by single or related algorithms or trading desks "raise heightened concerns," FINRA says.