FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
New FINRA Rule to Have ‘Detrimental Impact’ on Arb Process: Sutherland
By Melanie WaddellThe rule, just approved by the SEC, could cause a shortage of public arbitrators, a lawyer says.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 11, 2015
FINRA Hires SEC Data Analytics Guru Kurtas for New PostKurtas will focus on improving how FINRA analyzes and uses the data it currently gathers from firms, the self-regulator says.
February 06, 2015
SEC, FINRA Enforcement: Ex-Barclays Analyst, 3 Others Fined for Insider TradingMeanwhile, FINRA has fined Bloomberg Tradebook on short sale violations.
February 03, 2015
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA ReportsBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.
January 30, 2015
SEC, FINRA Enforcement: Edward Jones Fined for AML FailuresMeanwhile, the SEC fined International Capital Group for selling penny stocks and making stock-based loans without registering as a BD.
January 27, 2015
FSI Chair Blasts White House Fiduciary Memo as ‘Offensive’FSI Chairman and Cetera President Antoniades says the memo's "ignorance" is "frankly offensive"; FSI also says its fighting FINRA's CARDS plan.
January 22, 2015
FINRA Arbitration Data Under Fire AgainPublic interest groups prod FINRA's Arbitration Task Force to push for more transparency.