FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Reverses Schwab Class Action Waiver Decision
By Melanie WaddellSchwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
SEC, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension PlansIn other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.
April 16, 2014
FINRA to Mull Beefing Up Broker Background ChecksFINRA announced Wednesday that its board will consider a proposed amendment to FINRA Rule 3110 regarding background investigations of applicants for registration.
April 11, 2014
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card PracticesIn other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.
April 10, 2014
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers SayAdvocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.