FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Transamerica to Pay $8.8M Over Annuity, Fund & 529 Supervisory Failures
By Allison BellThe problems at Transamerica Financial Advisors affected 2,400 clients of variable annuities, mutual funds and college savings plans.
December 10, 2020
FINRA Seeks SEC OK for New CE RequirementsFINRA also wants approval for a new plan allowing individuals to challenge "statutory disqualification."
December 03, 2020
FINRA Suspends Ex-Morgan Stanley Rep Who Took Client Info to New FirmThe rep was suspended for 10 days and fined $5,000 for alleged actions when leaving to join Raymond James.
November 26, 2020
10 Classy Holiday Gifts for Clients Under $100There are plenty of fun ways to both delight clients and comply with regulatory rules on gift giving.
November 24, 2020
Appeals Court Disregards FINRA Rule in CCO CaseDecision raises questions about how FINRA will charge firms and compliance officers for "should have known" violations, Eversheds' attorneys say.
November 18, 2020
FINRA Pushes Ahead With More Bad-Broker RulesOne of the rules would place new obligations on BDs whose records raise investor-protection concerns.
November 11, 2020
FINRA Launches Targeted Exam of Fund Fee WaiversThe targeted exam was prompted by a June 4 settlement with Merrill Lynch.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.