FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA approves changes to broker background checks
By Melanie WaddellFirms would have to adopt written procedures that include searching public records.
April 24, 2014
FINRA Reverses Schwab Class Action Waiver DecisionSchwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
SEC, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension PlansIn other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.
April 16, 2014
FINRA to Mull Beefing Up Broker Background ChecksFINRA announced Wednesday that its board will consider a proposed amendment to FINRA Rule 3110 regarding background investigations of applicants for registration.