FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA finds violations in broker's YouTube video
By Elizabeth D. FestaFINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
July 22, 2013
FINRA Beefs Up MBS TransparencyFINRA announced Monday that its Trade Reporting and Compliance Engine will now provide increased transparency in mortgage-backed securities issued by Fannie Mae, Freddie Mac, Ginnie Mae and in securities backed by SBA-guaranteed loans.
July 12, 2013
Broker Bonus Plan: Death by Delay?FINRAs decision to postpone considering a rule to require that brokers recruitment bonuses be disclosed when they switch firms has one industry attorney speculating the rule may be on the chopping block.
June 27, 2013
SEC, FINRA Enforcement: StateTrust Investments Fined for Corporate Bond FraudAmong recent enforcement actions, FINRA ordered StateTrust Investments to pay more than $1.3 million for excessive markups and markdowns in corporate bond transactions.
June 18, 2013
SEC, FINRA, state exam execs lay out prioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 17, 2013
SEC, FINRA, State Exam Execs Lay Out PrioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 14, 2013
Senior credentials in regulatory spotlight… againWhat's behind the acronyms? Regulators want to know.
June 11, 2013
FINRA: 6 Factors to Consider Before Investing in Alternative FundsFINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.