FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
PIABA: FINRA withholding critical 'red flag' information
By PIABAIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.
March 05, 2014
FINRA backs off collecting personal data in CARDS planThe Financial Services Institute applauds the move but still has concerns about the CARDS plan.
March 04, 2014
FINRA Backs Off Collecting Personal Data in CARDS PlanSubmission of information will not include individual account names, addresses or tax identification numbers.
February 27, 2014
SEC, FINRA Enforcement: Fund Assets Raided to Pay Bonuses, Firm’s ExpensesAlso, FINRA censured and fined a firm $130,000 for short position reporting failures.
February 24, 2014
FINRA Fines Berthel Fisher $775,000 Over Sales of AlternativesThe IBD must hire a consultant to shape up its supervision of nontraded REITs and leveraged/inverse ETFs, the regulatory group says.
February 24, 2014
FINRA’s 5 Biggest Fine Categories in 2013Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.