FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Citigroup Arm Over Corporate Bond Transactions
By Melanie WaddellFINRA on Monday fined Citi International Financial Services $600,000 and ordered more than $648,000 in restitution and interest to more than 3,600 customers for charging excessive markups and markdowns on corporate and agency bond transactions.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 01, 2012
The Regulator of Last ResortLooks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Groups report, Investment Adviser Oversight: Economic Analysis of Options.
February 01, 2012
FINRA Files Complaint Against Schwab for Asking Customers to Sign WaiverFINRA announced Wednesday that it had filed a complaint against Charles Schwab & Co. charging the firm had violated FINRA rules by requiring its customers to waive their rights to bring class actions against the firm.
January 20, 2012
New Tool for BDs to Meet FINRA Rule 2111 on Suitability StandardsIpreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.