FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
10 Tips for a Successful Rollover: FINRA
By Melanie WaddellFINRA reminds investors considering a retirement account rollover that due diligence can keep your nest egg from suffering unnecessary cracks.
January 03, 2014
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
January 02, 2014
FINRA to focus on senior suitability annuity salesFINRA may be issuing a report on firms' practices on product-specific suitability guidelines for senior investors.
December 27, 2013
FINRA Floats System to Automatically Flag Problems With Broker Sales PracticesRegulator seeks comments on proposed CARDS system that would gather data from firms and send to FINRA before conducting onsite exams.
December 20, 2013
FINRA Bars Advisor Over Nontraded REIT SalesGary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.
December 19, 2013
Senators Prod FINRA for Broker Arb Expungement DataFINRA CEO Richard Ketchum has until Jan. 6 to tell senators how FINRA plans to address findings that it granted nearly all expungement requests.
December 18, 2013
SEC, FINRA Enforcement: Swiss-Based Firm Bilks U.S. Investors of $11MMeanwhile, FINRA fined Deutsche Bank Securities for deficiencies in its lending program while Argentus Securities was censured and fined on AML failures.
December 17, 2013
FINRA Creates Investor Issues CommitteeThe committee will advise senior FINRA staffers on proposed rulemaking and policy initiatives. Barbara Roper is one member.