FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Don't Forget This CE Requirement, FINRA Warns
By Melanie WaddellRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 17, 2023
JPMorgan Broker Suspended for Not Disclosing Kidnapping ChargesThe broker was charged with kidnapping a child and threatening a crime resulting in death or bodily injury.
July 11, 2023
Merrill, BofA Fined $12M for Suspicious Activity Report FailuresBank of America improperly set a reporting threshold of $25,000 instead of $5,000, the SEC and FINRA found.
July 10, 2023
FINRA Sends More Remote Office Updates to SECFINRA is adding more criteria to its Residential Supervisory Location plan.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.
June 29, 2023
SEC Has No Way to Track RIA Arbitration Stats, Unpaid AwardsA report commissioned by Congress reveals "an informational black hole" surrounding RIAs' use of arbitration, an attorney says.
June 28, 2023
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash TransactionsJames Iannazzo deposited and withdrew $568,440 in small increments to avoid bank reporting requirements, FINRA says.
June 28, 2023
Here's What a 'Trusted Contact' Is, and Isn't: FINRA ExecMany investors mistakenly think a trusted contact can trade in their account, Jim Wrona says.