FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Wallops Merrill: $8M Fine, $24M in Restitution for Overbilling Charities, Small Businesses
By Melanie WaddellMerrill sold the retirement plans more costly mutual fund share classes and failed to waive sales fees, FINRA said.
June 04, 2014
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ DataFINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
June 02, 2014
FINRA makes dark pool data public to help boost transparencyFINRAs commitment to transparency is bringing light to what was previously a dark area of the equity markets.
June 02, 2014
FINRA Provides Free ‘Dark Pool’ Data to InvestorsThe public will now be able to see the total shares traded each week by security in each dark pool outside traditional exchanges, FINRA says.
May 29, 2014
FINRA Bars Ex-Wells Fargo RepMichael Frew may have set up a Ponzi scheme involving 30 investors and a man named Guido.
May 29, 2014
FINRA Warns on Fake High-Interest CDsFINRA investor alert provides list of red flags that indicate a fraudulent CD offer.
May 27, 2014
Cybersecurity Crackdown: Where SEC, FINRA Will StrikeNo matter the size of your firm, if your client data isnt safe, youre not safe from the SEC and FINRA.
May 27, 2014
Time to Rein In Rollovers?If youve been paying attention over the past year, youve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.