FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Social networking: Nirvana or nightmare?
By Steven McCartyWhile social networking sites are a marketer's dream, they're also rife with potential compliance issues.
April 20, 2010
FINRA to Investors in Reverse Convertibles: Caveat EmptorWhile the high yields are attractive for some investors, it is essential to understand all of the risks behind the high yields of reverse convertibles. Enter with eyes wide open.
April 13, 2010
Susan Merrill, FINRA's Enforcement Chief, to Join BinghamMerrill will lead law firm's broker-dealer group
March 24, 2010
FINRA Expels Broker/Dealer Charged With Ponzi SchemeEnforcement chief announces plans to leave SRO as well in unrelated development
March 18, 2010
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi SchemeProvident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.
March 01, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
February 28, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.