FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s BrokerCheck ‘Hides’ Criminal Records, Has Other Holes, Study Says
By Melanie WaddellPIABA study says extent of omitted red flag information is so serious that unwitting investors could hire brokers with criminal records.
February 27, 2014
SEC, FINRA Enforcement: Fund Assets Raided to Pay Bonuses, Firm’s ExpensesAlso, FINRA censured and fined a firm $130,000 for short position reporting failures.
February 24, 2014
FINRA Fines Berthel Fisher $775,000 Over Sales of AlternativesThe IBD must hire a consultant to shape up its supervision of nontraded REITs and leveraged/inverse ETFs, the regulatory group says.
February 24, 2014
FINRA’s 5 Biggest Fine Categories in 2013Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 13, 2014
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator DefinitionFINRA's board on Thursday approved three rule proposals including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
February 07, 2014
FINRA reconsiders BrokerCheck Web link planAn official at the Financial Services Institute argues the proposal withdrawn last year was "unworkable."