FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Broker Bonus Plan Would Be ‘Nonevent’ for Many Reps: Henschen
By Melanie WaddellThe regulator raised the threshold for the disclosure requirement, which BD recruiter Jon Henschen called a "positive" move.
September 11, 2013
FINRA Revives Broker Bonus Disclosure PlanA revised plan to require that brokers recruitment compensation be disclosed when they switch firms will be considered at FINRA's Sept. 19 board meeting.
September 06, 2013
FINRA Fines On Track to Fall 41% This YearThe total dollar amount is projected to hit a three-year low, according to the law firm Sutherland Asbill and Brennan.
September 05, 2013
SEC, FINRA Enforcement: Money Manager Charged in Free-Riding SchemeAmong recent SEC actions were charges against a self-styled money manager for free-riding and fraud, while FINRA took on failures in WSPs and OATS compliance.
August 28, 2013
The Odd, Mixed Messages From FINRA on Risk Tolerance and SuitabilityFINRAs new, and unusual, definition of risk tolerance and the inconsistency between that definition and the views expressed on the SROs website are not helpful to advisors and investors.
August 22, 2013
FINRA Fines Morgan Stanley Over Bond InfractionsFirms must ensure that customers who buy and sell securities ... receive execution prices that are consistent with prices available in the marketplace," FINRA says.
August 20, 2013
Marijuana Stock Scams on the RiseNow that medical marijuana is legal in 19 states, FINRA warns investors that scammers are capitalizing on its popularity.
August 15, 2013
SEC, FINRA Enforcement: 2 JPMorgan Traders Charged With Fraud Over London Whale LossesThe SEC charged the traders for lying about massive derivatives losses and also charged several microcap companies and stock promoters in penny-stock schemes.