FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ Data
By Melanie WaddellFINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
May 29, 2014
FINRA Bars Ex-Wells Fargo RepMichael Frew may have set up a Ponzi scheme involving 30 investors and a man named Guido.
May 29, 2014
FINRA Warns on Fake High-Interest CDsFINRA investor alert provides list of red flags that indicate a fraudulent CD offer.
May 27, 2014
Cybersecurity Crackdown: Where SEC, FINRA Will StrikeNo matter the size of your firm, if your client data isnt safe, youre not safe from the SEC and FINRA.
May 27, 2014
Time to Rein In Rollovers?If youve been paying attention over the past year, youve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
May 20, 2014
FINRA’s ‘Total Warfare’ Against Brokers in ArbitrationBreakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.