FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA launches retrospective review of rules
By Melanie WaddellThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
March 27, 2014
FINRA Enforcement: Arbitrator Dismissed for Phony CredentialsIn addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
March 27, 2014
FINRA Examining Trading in New Puerto Rico BondsThe Financial Industry Regulatory Authority said its examining trading in the $3.5 billion of general-obligation bonds that Puerto Rico sold this month.
March 24, 2014
SEC OKs FINRA’s New Supervisory RulesThe SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
March 24, 2014
LPL Financial Fined $950,000 by FINRA Over Alt SalesLPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.
March 21, 2014
BDs Blast FINRA’s CARDS Plan on Privacy RiskFSI and other broker-dealer trade groups say FINRA's plan to collect vast amounts of account data comes with "serious privacy" concerns and significant costs.
March 18, 2014
SEC, FINRA to Hold Joint Regional BD Compliance SeminarsRegistration is open now for programs to be held in April and June.
March 17, 2014
FINRA fines Triad Advisors, Securities AmericaFINRA fined the two brokerages for failing to supervise the use of consolidated reporting systems.