FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA fines Ameriprise $750,000
By Maria WoodThe fine relates to a prior enforcement action FINRA levied against a former Ameriprise registered representative.
February 21, 2013
Schwab Dodges FINRA Action on Arbitration WaiversA FINRA disciplinary panel on Thursday upheld Charles Schwabs decision to include a class-action waiver in its customer arbitration agreements.
February 21, 2013
FINRA Goes for Round Two on Membership Rule ChangesFINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA Fines Five ING Affiliates $1.2M for Email ViolationsFINRA announced Tuesday that it had fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.
February 14, 2013
FINRA Warns on Bonds’ Duration RiskFINRA issued an alert Thursday underscoring the importance of a bonds duration risk in the current low-interest-rate environment.
February 13, 2013
FINRA Warning on BDCs Doesn’t Stop Market Vectors’ ETF DebutDespite FINRA's January warnings on high-risk business development companies, Market Vectors has launched the first-ever ETF to offer pure-play BDC exposure.