FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
LPL to Pay $12M FINRA Fine for Failing to Supervise Sales
By Melanie WaddellFINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
May 01, 2015
FINRA’s Ketchum Criticizes DOL Fiduciary PlanFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
April 30, 2015
SEC Urged to Beef Up FINRA Oversight: GAOSEC is falling short on supervision of the self-regulator in three areas, GAO says.
April 27, 2015
FINRA Charges Avenir Financial With Fraud in Equity Interest Sales to SeniorsAn Avenir broker used $77,000 of investor money for personal expenses, FINRA said.
April 27, 2015
FINRA Chief to Testify in HouseThe House Financial Services Capital Markets Subcommittee will question FINRA CEO Richard Ketchum on May 1. The controversial CARDS plan will be a likely topic.
April 20, 2015
FINRA Launches Helpline for Seniors"Older investors are only a phone call away from getting help with questions or concerns they may have regarding their investments," says FINRA's Axelrod.
April 16, 2015
FINRA OKs Changes to Communications Rules, Seeks Public CommentFINRA will also file with the SEC to charge a $115 fee for the MSRB's new muni advisor qualification exam.
April 13, 2015
FINRA Readies Changes to Communications RulesFINRA is also taking comments until mid-May on member application rules.