FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Issue Warning About Structured Notes With Principal Protection
By Melanie WaddellThe SEC's Office of Investor Education and Advocacy and FINRA issued an alert on Thursday warning investors about the risks of structured notes with principal protection.
May 24, 2011
FINRA Fines Nuveen Investments $3 Million for Misleading MarketingFINRA has fined Nuveen Investments, the largest manager of closed-end funds, $3 million for creating misleading ARPS brochures in 2008.
May 24, 2011
Understanding FINRA’s New Rules on Trading Low-Priced EquitiesFINRA has issued guidance on price volatility regarding low-priced equity securities in customer margin and firm proprietary accounts.
May 23, 2011
MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement‘We’re dealing with other people’s money here,’ MSRB Chairman says.
May 20, 2011
Four-Year High in FINRA Enforcement Actions, Says Enforcement ChiefNearly 450 cases have been brought through April, and amount of fines has increased, says FINRA's Bradley Bennett.
May 17, 2011
FINRA Launches Online Disciplinary Action DatabaseThe Financial Industry Regulatory Authority (FINRA) launched on Monday the FINRA Disciplinary Actions Online database, a web-based searchable system allowing investors to access brokers disciplinary actions via FINRAs website.
May 01, 2011
UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNsUBS Financial Services Inc. will pay a fine of $2.5 million to FINRA and $8.25 million to investors as restitution to settle FINRA charges “for…
April 27, 2011
Dale Brown, FSI: The Extended 2011 IA 25 ProfileAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.