FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card Practices
By Marlene Y. SatterIn other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 08, 2014
FINRA Launches Retrospective Review of RulesFINRA is looking at rules on communications with the public and noncash compensation to see whether they are meeting their "investor protection objectives."
April 07, 2014
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to IndependenceFrom pain and humiliation to a quite positive experience, seven brokers tell ThinkAdvisor their stories of breaking away.
March 27, 2014
FINRA Enforcement: Arbitrator Dismissed for Phony CredentialsIn addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
March 27, 2014
FINRA Examining Trading in New Puerto Rico BondsThe Financial Industry Regulatory Authority said its examining trading in the $3.5 billion of general-obligation bonds that Puerto Rico sold this month.
March 24, 2014
SEC OKs FINRA’s New Supervisory RulesThe SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
March 24, 2014
LPL Financial Fined $950,000 by FINRA Over Alt SalesLPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.