FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA sends broker bonus plan to SEC for approval
By Melanie WaddellAfter reviewing the proposal, the SEC could put it out for public comment or approve it.
March 11, 2014
6 Bitcoin Risks for Investors: FINRAFINRA on Tuesday warned investors of the top six reasons why buying and using a digital currency such as bitcoin can be risky.
March 08, 2014
PIABA: FINRA withholding critical 'red flag' informationIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.
March 08, 2014
PIABA: FINRA withholding critical 'red flag' informationIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.
March 07, 2014
FINRA responds to study finding holes in BrokerCheckPIABA says BrokerCheck hides data available from the states, but FINRA says it has to be fair.
March 06, 2014
FINRA’s BrokerCheck ‘Hides’ Criminal Records, Has Other Holes, Study SaysPIABA study says extent of omitted red flag information is so serious that unwitting investors could hire brokers with criminal records.
March 05, 2014
FINRA backs off collecting personal data in CARDS planThe Financial Services Institute applauds the move but still has concerns about the CARDS plan.
March 04, 2014
FINRA Backs Off Collecting Personal Data in CARDS PlanSubmission of information will not include individual account names, addresses or tax identification numbers.