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 05, 2009
It's a sue-happy worldDon't like the way your investments performed this year? Sue your advisor. It's not just the market meltdown; investors feel they were duped, and they're...
November 03, 2009
As Deadline Looms for Investor Protection Act, Advisor Groups Urge Congress to Include a Real Fiduciary StandardNAPFA, FPA, CFP Board and others petition House committees not to weaken investor protection
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.