FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA pushing for greater broker transparency
By National Ethics BureauBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
April 20, 2010
FINRA to Investors in Reverse Convertibles: Caveat EmptorWhile the high yields are attractive for some investors, it is essential to understand all of the risks behind the high yields of reverse convertibles. Enter with eyes wide open.
April 13, 2010
Susan Merrill, FINRA's Enforcement Chief, to Join BinghamMerrill will lead law firm's broker-dealer group
March 24, 2010
FINRA Expels Broker/Dealer Charged With Ponzi SchemeEnforcement chief announces plans to leave SRO as well in unrelated development
March 18, 2010
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi SchemeProvident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.
March 01, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
February 28, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
January 26, 2010
FINRA Weighs In On Social NetworkingThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.