FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Schwab Dodges FINRA Action on Arbitration Waivers
By Melanie WaddellA FINRA disciplinary panel on Thursday upheld Charles Schwabs decision to include a class-action waiver in its customer arbitration agreements.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA Fines Five ING Affiliates $1.2M for Email ViolationsFINRA announced Tuesday that it had fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.
February 14, 2013
FINRA Warns on Bonds’ Duration RiskFINRA issued an alert Thursday underscoring the importance of a bonds duration risk in the current low-interest-rate environment.
February 13, 2013
FINRA Warning on BDCs Doesn’t Stop Market Vectors’ ETF DebutDespite FINRA's January warnings on high-risk business development companies, Market Vectors has launched the first-ever ETF to offer pure-play BDC exposure.
February 12, 2013
FINRA Up to Its Old Tricks With SRO Strategy ShiftFINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.
February 07, 2013
FINRA quietly shifts SRO efforts to SenateFINRA has set its sights on the Senate to push a bill that would give it the authority to become the SRO for advisors.
February 07, 2013
FINRA Shifts SRO Fight to Senate, as House Effort FaltersWith the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.