FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Morgan Stanley Adds Team from Wells, Faces Fine
By Janet LevauxBoca Raton-based advisor team with $100 million-plus in assets joins MSSB a few days after FINRA fined the broker-dealer $800,000.
August 16, 2010
FINRA's Members Elect New Governors, Approve Proxy ProposalsMember firms of the Financial Industry Regulatory Authority (FINRA) have elected seven governors, and have supported seven non-binding proxy proposals, the organization announced.
August 13, 2010
SEC, NASAA, FINRA Update Best Practices for Serving SeniorsAs the number of elderly Americans is expected to more than double by 2050, the SEC, FINRA, and NASAA have updated a joint report outlining practices being used by financial services firms.
August 01, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
August 01, 2010
The FINRA BlotterThe law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA in 2009. By reviewing...
July 31, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
July 16, 2010
FINRA to Expand BrokerCheck ServiceStarting in August, the FINRA will begin to implement changes to its free, online BrokerCheck service that will significantly expand the amount of publicly available information about current and former securities brokers.
June 15, 2010
FINRA to Assume Oversight of NYSE Euronext MarketsThe Financial Industry Regulatory Authority (FINRA) will assume surveillance and enforcement functions for NYSE Euronext's three U.S. equities and options markets in an agreement announced June 14.