FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA: Broker Broke Into Former Firm's Office for Files
By Jeff BermanThe rep has not updated his Form U4 to disclose a related criminal charge, FINRA says.
June 30, 2020
FINRA Elects Murray as Board ChairEileen Murray, former co-CEO of Bridgewater Associates, has held senior posts at Morgan Stanley and other firms.
June 29, 2020
Hightower Expects 'Material Revision' to $1.2M Set Aside for 529 Plan OverchargesThe firm said it would participate in FINRA's 529 Plan Share Class Initiative.
June 25, 2020
FINRA Suspends Ex-Wells Fargo Rep Over Crypto ConcealmentThe former broker was engaged in unauthorized cryptocurrency business activities, the regulator says.
June 24, 2020
FINRA Suspends Ex-CEO From Shuttered BD First StandardThe former CEO must pass the Series 24 exam again before he could serve as a principal for any FINRA member.
June 24, 2020
Broker-Dealer to Pay $3.1M for Bad Trade DataThe inaccurate and incomplete securities trading information, or "blue sheet data," affected 27.6 million transactions.
June 24, 2020
FINRA Moves Ahead on Brokers-as-Beneficiaries RuleRegulatory group also is looking to build a standard to govern brokers acting as trustees or executors and being given power of attorney.
June 22, 2020
Another Ex-Broker of Shuttered BD First Standard Suspended by FINRAThe rep, like others from the firm before him, was accused of excessive trading.