FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA: Be More Careful About E-Mail
By Allison BellThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.
November 01, 2009
Regulator targets use of mortgage money for securitiesIf you're considering asking clients to fund the purchase of a security by refinancing their mortgage or taking out a home-equity loan, watch out.
October 31, 2009
Regulator targets use of mortgage money for securitiesIf you're considering asking clients to fund the purchase of a security by refinancing their mortgage or taking out a home-equity loan, watch out.
September 22, 2009
FINRA Seeks CommentsThe Financial Industry Regulatory Authority is continuing to overhaul the rules that govern members' communications with the public.
September 22, 2009
FINRA Seeks CommentsThe Financial Industry Regulatory Authority is continuing to overhaul the rules that govern members' communications with the public.
September 03, 2009
FINRA Settles With 3 Firms Over SecuritiesThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.
September 03, 2009
FINRA Settles With 3 Firms Over SecuritiesThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.