FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Reg BI, Form CRS 'Show Must Go On!'
By Melanie WaddellThe SEC will be mindful of coronavirus disruptions as it presses ahead with June 30 compliance date.
April 24, 2020
FINRA Wants IAR Info to Be Available on BrokerCheckThe SEC's investment advisor database recently added BrokerCheck info.
April 20, 2020
FINRA Postpones In-Person Arbitration HearingsFINRA is also waiving postponement fees on hearings through Sept. 4.
April 15, 2020
Morgan Stanley Wins Nearly $2M in FINRA Arb DisputeThe firm had sought $1.5 million it said an ex-advisor owed from promissory notes, plus fees.
April 14, 2020
FINRA Bars Ex-Morgan Stanley Rep for Not Cooperating With InquiryThe broker was fired by the wirehouse as it reviewed a mortgage deed execution she was involved in.
April 13, 2020
FINRA Clarifies Disclosure Rules for PPP LoansIt also has shared details on the net capital treatment of covered loans tied to the stimulus' Payroll Protection Program.
April 08, 2020
FINRA to Mirror SEC Reg BI, Form CRS Exam ApproachSelf-regulatory group says it will take action if it observes client harm or conduct violating current suitability rules.
April 07, 2020
FINRA Presses Ahead With Bad-Broker CrackdownThe plan would allow a hearing officer to require a BD to adopt heightened supervision for brokers with long disciplinary histories.