FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Sanction Chief Compliance Officers, Sutherland Report Finds
By Melanie WaddellA recent report by the law firm Sutherland, Asbill & Brennan analyzes recent SEC and FINRA actions against chief compliance officers at BDs and advisory firms, highlighting examples of conduct that regulators have identified as sanction-worthy.
September 23, 2011
Taking on the SEC and FINRA—Sometimes It PaysNew research from the law firm Sutherland shows that it pays to litigate against the SEC and FINRA, particularly when it comes to fraud cases.
September 07, 2011
FINRA Fines 5 Broker-DealersFive broker-dealers were fined by FINRA for understating the amount of total commissions they charged to customers in trade confirmations and on fee schedules.
September 01, 2011
How Much Is Too Much?As I’m sure is true for many of you, one of my favorite pastimes is reading up on the latest FINRA changes. Recently, I was reading an article about…
August 24, 2011
FINRA Warns Investors to Beware of Gold Stock ScamsIn an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.
August 23, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
August 22, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
July 29, 2011
FINRA to Take Closer Look at Mutual Fund AdvertisingResponding to mutual fund companies that charge the regulator fails to consistently communicate new interpretations of existing advertising rules for mutual funds, FINRA says it will change its ways.