FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Up to Its Old Tricks With SRO Strategy Shift
By Bob ClarkFINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.
February 05, 2013
FINRA Seeks Second Round of Comments on Markups, Commissions PlanAfter being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
January 24, 2013
SEC, FINRA Enforcement Roundup: Egan-Jones Settles Over False StatementsRecent enforcement actions taken by FINRA and the SEC include an order against Westor Capital and its president for misuse of customer shares and funds.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 18, 2013
FINRA Issues Top 10 Watch List for 2013ETFs and variable annuities are among the 10 products and regulatory areas in the regulators sights.
January 17, 2013
FINRA Enforcement Roundup: Morgan Keegan Censured, Fined Over Nontraditional ETFsAmong recent FINRA enforcement actions were the censure, fine and order to pay restitution of a firm that charged its customers bogus markups.
January 17, 2013
FINRA Launches Phone MediationFINRA announced Wednesday that it has launched a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation.