FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
MetLife fined millions for annuity sales
By Arthur D. PostalFINRA has fined MetLife Securities, Inc. $25 million for wrongdoing related to some replacement variable annuity sales.
May 02, 2016
FINRA Sends Market Manipulation Report CardsThe regulator also wants to add another member to its disciplinary tribunal, NAC.
April 26, 2016
FINRA Bars Ex-Citigroup Broker for Money Laundering SchemeJames Van Doren accepted $244,000 from a childhood friend in order to hide it from creditors, FINRA says.
April 08, 2016
FINRA Enforcement Chief Warns BDs to Beef Up AML PoliciesThe nature of money laundering schemes is changing, FINRA's Brad Bennett said.
March 30, 2016
CFP Board’s Mandatory Arb Plan: Significantly Better Than FINRA’sThe Board's timing and use of mandatory arbitration as the solution virtually cry out for comparisons to FINRAs controversial arbitration program.
March 28, 2016
The Mysterious Case of the Unpaid Arbitration AwardsToo many investors win securities arbitration awards and never see a penny, Bob Clark writes.
March 28, 2016
Regulators’ Secret Weapon Against CyberattackersFINRA and the SEC continue their concerted efforts to ensure financial firms compliance with cybersecurity regulations.
March 25, 2016
SEC Approves FINRA’s Broker Comp Disclosure RuleUnder the rule, customers will have a more complete picture of the potential implications of a decision to transfer assets when a broker switches firms.