FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEO
By John ManganaroEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 10, 2023
Former Broker Pleads Guilty to Filing False Tax ReturnThe ex-broker filed individual income tax returns omitting installment payments related to the sale of his advisory firm.
January 10, 2023
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities SchemeThe former broker diverted clients' funds to repay previous investors and for his own use, according to DOJ.
January 10, 2023
4 Top FINRA Exam Priorities in 2023A new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
January 09, 2023
Ex-Broker to Fork Up $3M Over Fintech FraudThe SEC says Paul Hess and other defendants tricked investors into buying unregistered interests in shell companies.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 03, 2023
Former Fidelity Broker Wins $500K in Wrongful Termination CaseA FINRA panel also ruled that the ex-broker's Form U5 termination disclosures should be revised.
January 03, 2023
FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection ProcessThe proposal follows a legal skirmish in which a decision favoring Wells Fargo was thrown out in court.