FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Battered Morgan Stanley Breakaway Advisor Fights Back
By Jane Wollman RusoffBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
July 24, 2014
SEC OKs FINRA Rule on Expungement of Broker Black MarksThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
July 17, 2014
FINRA Appoints Arbitration Task ForceFINRA appointed a 13-member arbitration task force Thursday to consider possible enhancements to its arbitration forum.
July 02, 2014
FINRA Enforcement: Goldman Fined $800,000 for Trade-Through FailuresIn other actions, Morgan Stanley was fined $100,000 on private wealth management failures.
June 30, 2014
FINRA Unveils Trade Prices in $1.5 Trillion Private-Bond MarketInvestors have access to public price information in the $1.5 trillion market for privately sold corporate bonds beginning today.
June 23, 2014
FINRA Withdraws Broker Bonus PlanFINRA has scrapped its controversial recruitment compensation proposal but says it will file a revised plan later this year.
June 23, 2014
FINRA Levied $60M in Fines in 2013In FINRA's annual report, CEO Richard Ketchum also says that FINRA is pressing forward with its controversial CARDS data collection plan.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.