FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks Second Round of Comments on Markups, Commissions Plan
By Melanie WaddellAfter being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 18, 2013
FINRA Issues Top 10 Watch List for 2013ETFs and variable annuities are among the 10 products and regulatory areas in the regulators sights.
January 17, 2013
FINRA Enforcement Roundup: Morgan Keegan Censured, Fined Over Nontraditional ETFsAmong recent FINRA enforcement actions were the censure, fine and order to pay restitution of a firm that charged its customers bogus markups.
January 17, 2013
FINRA Launches Phone MediationFINRA announced Wednesday that it has launched a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation.
January 11, 2013
What’s Behind FINRA’s Newfound Move on Disclosing Broker Bonuses?A cynical observer might think the impetus for the newly "fiduciary conscious" FINRA's proposed rulemaking was to discourage brokers from demanding bonuses when they switch broker-dealers.
January 11, 2013
FINRA-Ordered Restitution Saw Big Jump in 2012The jump, to $34 million in 2012 from $19.4 million in 2011, was one highlight of FINRA's recently released annual review.
January 10, 2013
FINRA Issues Crowdfunding Portal FormFINRA issued on Thursday a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals under the JOBS Act.