FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC OKs FINRA Rule on Expungement of Broker Black Marks
By Melanie WaddellThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
June 30, 2014
FINRA Unveils Trade Prices in $1.5 Trillion Private-Bond MarketInvestors have access to public price information in the $1.5 trillion market for privately sold corporate bonds beginning today.
June 23, 2014
FINRA Withdraws Broker Bonus PlanFINRA has scrapped its controversial recruitment compensation proposal but says it will file a revised plan later this year.
June 23, 2014
FINRA Levied $60M in Fines in 2013In FINRA's annual report, CEO Richard Ketchum also says that FINRA is pressing forward with its controversial CARDS data collection plan.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
June 16, 2014
FINRA Wallops Merrill: $8M Fine, $24M in Restitution for Overbilling Charities, Small BusinessesMerrill sold the retirement plans more costly mutual fund share classes and failed to waive sales fees, FINRA said.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.