FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Beefs Up MBS Transparency
By Melanie WaddellFINRA 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.
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.
June 04, 2013
FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance ProsCompliance professionals are questioning the merits of new FINRA rules that prevent people associated with mutual funds and hedge funds from serving as public arbitrators.
June 04, 2013
FINRA Whacks Wells Fargo, Merrill Lynch $5M Over Unsuitable Floating-Rate Bank Loan FundsFirms were fined $2.15 million and ordered to pay $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds.
May 31, 2013
15 Best Finance Tweets of the Month: MayPIMCOs Bill Gross, Zero Hedge and others weigh in on Fed Chairman Ben Bernankes congressional testimony; Ron Rhoades tells us what he really thinks about FINRA; and more in your May dispatch from the Twittersphere.