FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Former 'Real Housewives' Husband Fined for Naked Short Selling
By Marlene Y. SatterBrokerage firm ITG Inc. and affiliate AlterNet Securities will pay $20.3 million for running secret dark-pool trading desk.
August 04, 2015
FINRA BrokerCheck Plan Gets More FlakThe IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
August 03, 2015
FINRA Fines Aegis $950,000, Suspends Top ExecsThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 31, 2015
‘Dissident’ Candidate Elected to FINRA BoardBrian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
July 27, 2015
Goldman Clearing Arm to Pay $1.8M FINRA Fine Over OATS ViolationsGoldman Execution & Clearing was fined for more than eight years of Order Audit Trail System-related failures.
July 20, 2015
FINRA blasts DOL’s fiduciary redraft as ‘fractured, confusing’In its 21-page comment letter, FINRA tells DOL to modify its plan so that BDs do not abandon small accounts.
July 14, 2015
Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA ExecCybersecurity is an operational risk issue, said FINRAs Daniel Sibears.
July 10, 2015
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS TeamThe four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.