FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BDs’ Comments Lead FINRA to Update Communication, Gift Rules
By Melanie WaddellBDs request further guidance, updates on the two rules; FINRA's retrospective review process is ongoing.
November 24, 2014
FINRA FinesFines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
November 24, 2014
Citigroup to Pay $15M FINRA Fine Over Research LeaksAnalysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
November 20, 2014
SEC Fines Wedbush $2.4M in Market Access Case; FINRA Complaint on DeckLos Angeles-based Wedbush Securities and two top officials agreed to settle a pending SEC case for market access violations.
November 19, 2014
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office EquipmentThe former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
November 17, 2014
FINRA Proposes Pay-to-Play RulesFINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
November 14, 2014
SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme HaltedMeanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
November 11, 2014
Are Changes Coming to FINRA Exams?At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.