FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA BrokerCheck Plan Gets More Flak
By Melanie WaddellThe IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
July 27, 2015
Goldman Clearing Arm to Pay $1.8M FINRA Fine Over OATS ViolationsGoldman Execution & Clearing was fined for more than eight years of Order Audit Trail System-related failures.
July 20, 2015
FINRA blasts DOL’s fiduciary redraft as ‘fractured, confusing’In its 21-page comment letter, FINRA tells DOL to modify its plan so that BDs do not abandon small accounts.
July 14, 2015
Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA ExecCybersecurity is an operational risk issue, said FINRAs Daniel Sibears.
July 10, 2015
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS TeamThe four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.
July 07, 2015
‘Dissident’ Candidate Vies for FINRA Board SeatWith FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
June 30, 2015
FINRA Earnings Surge as Fines DoubleThe self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
June 26, 2015
4 Steps to Transfer Deceased Parents’ Brokerage Assets: FINRAAfter taking a flood of calls from children of deceased parents on its new senior helpline, FINRA issues an alert on transferring brokerage assets.