FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
‘Dissident’ Candidate Vies for FINRA Board Seat
By Melanie WaddellWith FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
June 22, 2015
Morgan Stanley, Scottrade Fined by FINRA for Failing to Detect Fraudulent Wire TransfersThe firms were alerted to gaps in their systems but went years without correcting them, FINRA says.
June 01, 2015
FINRA Boosts Asset-Backed Securities Market’s TransparencyBy Dec. 4, asset-backed securities transactions will be available to the public no later than 15 minutes after the trade is executed.
June 01, 2015
FINRA BrokerCheck Ad Campaign Supported by Huge Fine VolumeFINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.
May 29, 2015
SEC, FINRA Enforcement: Compliance Director Charged With Bilking ClientsThe SEC also charged a New York securities lawyer with running pump-and-dump schemes out of his office.
May 29, 2015
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus RulesThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
Talk of FINRA as Advisor SRO Rears Its Head AgainA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 13, 2015
Morgan Stanley Fined $2 Million Over Short-Sale ReportingBillions of shares in positions weren't fully disclosed over a six-year period, according to FINRA.