FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Mulls Further Changes to Senior Exploitation Rule
By Melanie WaddellFINRA wants to extend the period for placing a temporary hold on accounts and create the first uniform, national standard for placing holds on transactions.
October 01, 2020
FINRA Bars Yet Another Ex-Broker From Shuttered BD First StandardThe former rep, like others from the firm, was accused of excessive trading, then refused to cooperate with FINRA's investigation.
October 01, 2020
FINRA Fines Ex-Merrill Rep Who Took Client Info to New FirmBefore leaving Merrill, the rep emailed himself clients' personal info 161 times, FINRA says.
September 25, 2020
Ex-Waddell & Reed Rep Failed to Disclose Criminal Charges: FINRAFirm's former rep was charged with DUI and possession of a Schedule 1 controlled substance, according to BrokerCheck.
September 25, 2020
FINRA Moves Ahead on Expungement ChangesThe changes fill holes in the process, but expungement shouldn't be handled by arbitrators at all, investor lawyers say.
September 23, 2020
FINRA Bars Ex-Prudential Broker Who Forged Clients' SignaturesThe ex-rep also created email accounts for two clients and submitted annuity applications without their knowledge, according to FINRA.
September 23, 2020
FINRA Working on Reg BI Guidance, Mulling Exam Changes: CookIn the future, in-person BD exams likely will be considered "more on a risk-based framework," says the regulator's CEO.
September 22, 2020
FINRA Releases Exam Cheating Rule ProposalFINRA's plan seeks an expedited proceeding for brokers who cheat on exams; comments are due by Nov. 23.