FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Pushes Ahead With More Bad-Broker Rules
By Melanie WaddellOne of the rules would place new obligations on BDs whose records raise investor-protection concerns.
November 06, 2020
FINRA Sets Sights on Registered Index-Linked AnnuitiesThese annuities have seen a significant jump this year, said FINRA CEO Cook.
November 02, 2020
FINRA: Ex-BofA Analyst Charged 'Adult Entertainment' on Corporate CardThe analyst charged about $21,000 at an "adult venue," FINRA says.
October 29, 2020
FINRA Limits Brokers' Ability to Serve as BeneficiariesA new rule requires firms' approval for brokers serving in positions of trust, such as beneficiary or executor, for clients.
October 23, 2020
FINRA Amends Sanction Guidelines to Protect Older AdultsThe revision, effective immediately, "is consistent with FINRA's view that certain investors may need additional protections," says attorney Brian Rubin.
October 20, 2020
Ex-SagePoint Rep Invested Clients' Funds in Sham Pension SchemeThe former broker invested $210,000 of his client's money in private securities transactions without his firm's approval, FINRA says.
October 19, 2020
FINRA Files to Boost Arbitrators' PayLawyers for investors support the pay hike but "we do not want arbitrators to be doing this as their living," says PIABA's Sam Edwards.
October 16, 2020
FINRA Bars Ex-Ameriprise Rep Who Took $42,000 From a ClientThe broker had been terminated after allegedly converting the elderly client's funds for his own use.