FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Withdraws Rule Creating Expungement Arbitrator Roster
By Melanie WaddellFINRA temporarily withdrew the rule from SEC consideration, saying it might revise it.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 24, 2021
FINRA Plans Fee Hike as Early as Next YearThis year marks the eighth consecutive year that FINRA has not increased fees.
May 24, 2021
Merrill to Bar Trainees From Cold Calling: ReportThe wirehouse is launching a new training program using internal referrals and LinkedIn messages, according to The Wall Street Journal.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
May 19, 2021
Brokers Still Gaming BrokerCheck With New Tactics: PIABA"Straight-in expungements" are the latest example of how investors and state regulators are left out of the expungement process, lawyers argue.
May 18, 2021
Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in PrisonThe firm's former broker and executive pleaded guilty to defrauding two clients out of nearly $1 million.