FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Fund Assets Raided to Pay Bonuses, Firm’s Expenses
By Marlene Y. SatterAlso, FINRA censured and fined a firm $130,000 for short position reporting failures.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 13, 2014
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator DefinitionFINRA's board on Thursday approved three rule proposals including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
February 07, 2014
FINRA reconsiders BrokerCheck Web link planAn official at the Financial Services Institute argues the proposal withdrawn last year was "unworkable."
February 07, 2014
FINRA to Reconsider BrokerCheck Web Link PlanFINRA board also plans to consider next week definitions of nonpublic and public arbitrators as well as an expungement rule.
February 07, 2014
FINRA Plans Cybersecurity Exam SweepFINRA has issued an exam letter saying it will scrutinize BDs' handling of cyber threats, fulfilling its promise to zero in on IT security.
February 05, 2014
FINRA Wallops Brown Bros. Harriman With Its Biggest-Ever AML FineFINRA fined Brown Brothers Harriman & Co. $8 million for failing to monitor trades of 6 billion penny stock shares.