FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA CEO Richard Ketchum to Retire in 2016
By Janet LevauxKetchum's announcement comes as a new fiduciary proposal and crowdfunding rules are in the spotlight.
October 15, 2015
FINRA’s Ketchum: 3 Top Exam Priorities for 2016Every year in Q1, FINRA publishes a letter about its regulatory and exam priorities. On Thursday, CEO Richard Ketchum offered a preview for 2016.
October 15, 2015
FINRA Proposes Rule for BDs to Help Stop Elder FraudBDs would be required to obtain a trusted contact for an elderly customers account; empowered to put holds on fraudulent-looking transactions.
October 13, 2015
FINRA Slams Santander Securities Over Puerto Rican Muni Bond SalesFirm must pay more than $4 million in restitution, and was censured and fined $2 million.
October 12, 2015
SEC OKs FINRA BrokerCheck Link RuleBDs will now have to include a "readily apparent reference and hyperlink" to BrokerCheck on their websites.
October 01, 2015
FINRA says it gave failing grade to 208 test takers by mistakeThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
October 01, 2015
FINRA says it gave failing grade to 208 test takers by mistakeThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
September 29, 2015
FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End FundsCompany failed to ensure suitability for clients of Puerto Rican CEFs that were highly invested in Puerto Rican municipal bonds; branch manager and rep charged.