FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Doubles Length of Suitability Suspensions, Toughens Fraud Sanctions
By Melanie WaddellFINRA says it will be tougher on those committing fraud or making unsuitable recommendations and will increase suspensions for breaking suitability rules.
May 06, 2015
LPL to Pay $12M FINRA Fine for Failing to Supervise SalesFINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
FINRA’s Ketchum Criticizes DOL Fiduciary PlanFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
April 30, 2015
SEC Urged to Beef Up FINRA Oversight: GAOSEC is falling short on supervision of the self-regulator in three areas, GAO says.
April 27, 2015
FINRA Charges Avenir Financial With Fraud in Equity Interest Sales to SeniorsAn Avenir broker used $77,000 of investor money for personal expenses, FINRA said.
April 27, 2015
FINRA Chief to Testify in HouseThe House Financial Services Capital Markets Subcommittee will question FINRA CEO Richard Ketchum on May 1. The controversial CARDS plan will be a likely topic.