FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Advances Senior Exploitation Rule
By Melanie WaddellThe rule would extend the hold period and allow temporary holds on securities transactions in cases of suspected financial exploitation.
June 16, 2021
SEC, FINRA, NASAA Launch Senior Safe Act Training ProgramThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
June 15, 2021
Excited About SEC's New Ad Rule? Not So FastAdvisory firms are itching to use testimonials before their compliance departments are ready.
June 11, 2021
Ex-LPL Broker Faces Up to 20 Years in Prison for Raiding Clients' AnnuitiesThe former broker has been charged with three counts of wire fraud, one count of mail fraud and one count of aggravated identity theft.
June 10, 2021
Ex-Broker Who Defrauded Older Clients Sentenced to Over 5 Years in PrisonThe former Mutual of Omaha rep was also ordered to pay restitution of $2.4 million to his victims.
June 07, 2021
FINRA Wants Regulatory CE Requirement Satisfied AnnuallyFINRA's proposal would also let brokers who are out of the industry keep their qualifications for longer if they fulfill CE requirements.
June 03, 2021
Ex-Cetera Rep Gets 5-Year Prison Sentence for Defrauding ClientsThe former broker had pleaded guilty to wire and bank fraud on Jan. 14.