FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Reg BI Exams' Scope Has Been Expanded: FINRA's Cook
By Melanie Waddell"Going forward, we're really expecting nothing shorter than compliance with the rule," the FINRA CEO says.
April 12, 2021
Ex-Broker Fined for Not Disclosing Charges of Rape, False ImprisonmentThe former broker failed to timely amend his Form U4 to disclose the charges, FINRA says.
April 09, 2021
FINRA Bars Ex-Goldman Rep Over Expense ReimbursementThe former broker was terminated by the firm in December 2019 and then consented to being barred from the business.
April 08, 2021
Envestnet Acquires Harvest Savings & Wealth: Tech RoundupAlso, fintech firm fabe launches a SaaS application to help advisors value their firms for a sale.
April 06, 2021
FINRA Zooming In on Platform Outages, Suspicious Activity ReportsThe regulatory group also is looking at broker-dealer communications about digital assets in its exams, according to one executive.
April 05, 2021
FINRA Fines Ex-Broker for Trades in Deceased Client's AccountThe broker was terminated by Insigneo Securities after it learned he continued to trade in an account after the had client died, according to FINRA.
April 05, 2021
UBS Must Pay $371K to Clients: FINRA PanelA FINRA arbitration panel ruled in favor of UBS clients, who alleged the firm's options-trading strategy exposed them to significant risks.
April 01, 2021
FINRA Fines Ex-Broker Who Covered Up Conviction for Sex With a MinorThe former rep "willfully failed to timely amend" his Form U4 to disclose he was charged with three felonies, FINRA says.