FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: Lawyer
By Melanie WaddellThe proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRAs loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
September 05, 2014
FINRA Enforcement: HFP Capital Markets Expelled From FINRA for Note FraudFINRA also censured Saddle River, New Jersey-based Felix Investments.
September 03, 2014
FINRA Arbitration Head Fienberg to Step DownLinda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
August 28, 2014
SEC, FINRA Enforcement: Citi Global Markets Fined $2 MillionIn another action, an investor relations firms exec was charged with insider trading.
August 25, 2014
FINRA Fines on Pace to Approach Financial Crisis Levels, Led by ‘Supersized’ FinesFines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
August 18, 2014
FINRA Charges Wedbush With Market Access ViolationsWedbush's lax supervision enabled customers to flood U.S. exchanges with thousands of potentially manipulative wash trades, FINRA says.
August 15, 2014
Former SEC Chief Walter Named FINRA Public GovernorFINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRAs Board as public governor.
August 08, 2014
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t UnderstandIn other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.