FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s 5 Biggest Fine Categories in 2014
By Melanie WaddellFINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 03, 2015
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA ReportsBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.
January 30, 2015
SEC, FINRA Enforcement: Edward Jones Fined for AML FailuresMeanwhile, the SEC fined International Capital Group for selling penny stocks and making stock-based loans without registering as a BD.
January 27, 2015
FSI Chair Blasts White House Fiduciary Memo as ‘Offensive’FSI Chairman and Cetera President Antoniades says the memo's "ignorance" is "frankly offensive"; FSI also says its fighting FINRA's CARDS plan.
January 22, 2015
FINRA Arbitration Data Under Fire AgainPublic interest groups prod FINRA's Arbitration Task Force to push for more transparency.
January 15, 2015
SEC, FINRA Enforcement: Franklin Resources, Chairman Sued for $150M Over Long-Ago Stock BequestIn another action, FINRA expelled a firm for stock manipulation and barred its CEO, who looted the firm to pay for tattoos and pet care.
January 09, 2015
FINRA Bars CEO Who Appeared in ‘Wall Street 2’, Expels His FirmA panel barred Tommy Belesis, who appeared in the "Wall Street" film sequel, and expelled his firm for violations around a stock sale.
January 08, 2015
Time to Reform FINRA: Mercatus PaperA paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits a troubling independence from government, industry and the public.