FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Franklin Resources, Chairman Sued for $150M Over Long-Ago Stock Bequest
By Marlene Y. SatterIn another action, FINRA expelled a firm for stock manipulation and barred its CEO, who looted the firm to pay for tattoos and pet care.
January 08, 2015
FINRA Enforcement: Monex Fined for Letting Unregistered Reps Advise Clients in MexicoMeanwhile, Merrill was fined $300,000 for supervisory failures.
January 06, 2015
FINRA’s Top Exam Priorities for 2015FINRA calls BDs failure to put clients first a recurring challenge in its 2015 priorities report.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.
December 29, 2014
FINRA Fines Pershing $3M for Cash Reserve ShortfallPershing's failure to hold enough cash and securities in reserve broke the SEC's Customer Protection Rule, FINRA said.
December 23, 2014
FINRA Assumes Regulatory, Insider Trading Role for OptionsDeal announced with CBOE and C2 Options exchanges will allow regulator to conduct cross-market surveillance on both options and equity insider trading.
December 22, 2014
FINRA Bars Ex-Broker for Stealing From Elderly CustomerEx-Wells Fargo broker Jeffrey McClure was permanently barred from the industry for using nearly $89,000 in an elderly client's blank checks for his own expenses.