FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
When disaster strikes: How good is your plan?
By Harry LewIf another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 Critical Questions to Prepare for FINRA Suitability ExamsIf you can't answer these questions, securities lawyer Josh Horn says, it's time to "revisit your policies and procedures before FINRA does it for you.
October 10, 2013
SEC, FINRA Enforcement: Firm Owner Loots Scholarship Funds, Widow’s AccountFINRA expels firm and its owner for misusing a widow's money and a scholarship fund; SEC charges more inside traders in Heinz case.
October 04, 2013
SEC, FINRA Enforcement: Texas Couple Busted in Green Card Investment ScamAmong other actions, the SEC charged a woman in a bail-bond scheme and froze assets in a bill-collection scam to pay alimony and child support.
September 27, 2013
Rep Wins $4M From Wedbush in FINRA ArbMichael Farah, now an RIA, first brought the case against Wedbush in 2005, saying it had made misrepresentations on CMOs he'd sold.
September 20, 2013
CCOs Under Fire: When Enforcers Get Burned by RegulatorsWhile chief compliance officers are on the frontlines of catching wrongdoing, they can also become targets of regulators for their own misdeeds.