FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Sets June 1 'Evaluation Date' for High-Risk Firms
By Melanie WaddellOn this date, it will start the process of determining which of the 3,400 BDs it regulates should be labeled restricted firms.
January 20, 2022
Credit Suisse Hit With $9M FINRA FineThe infractions involved research reports and the Customer Protection Rule.
January 19, 2022
Compliance Group Releases CCO Liability FrameworkCompliance officers are concerned about several types of incidents in which they could be found personally liable, a survey found.
January 14, 2022
Merrill Wins $20M Arb Dispute Over American Airlines InvestmentsA FINRA panel ruled in favor of the wirehouse in a claim brought on behalf of a trust alleging negligence and breach of contract.
January 13, 2022
FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion DocumentsThe Florida Department of Financial Services suspended the ex-broker for six months over the allegations in 2020.
January 13, 2022
How One Investor Beat Robinhood in FINRA FightThe unprecedented victory will likely create a "headache" for Robinhood, law professor Benjamin Edwards says.
January 12, 2022
E-Trade to Pay $350K Over Weak Trading OversightE-Trade "failed to establish and maintain a supervisory system" to detect "potentially manipulative trading" by its clients, according to FINRA.
January 10, 2022
SEC Bars Ex-Advisor Charged With Defrauding At Least 100 ClientsThe ex-Raymond James and Alliance Global Partners rep faced 37 client complaints in two years, according to FINRA.