FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Clarifies Disclosure Rules for PPP Loans
By Janet LevauxIt also has shared details on the net capital treatment of covered loans tied to the stimulus' Payroll Protection Program.
April 02, 2020
FINRA Suspends Ex-Morgan Stanley Rep for Misusing Expense AccountThe advisor lent funds from her Automated Flexible Grid account to another employee, FINRA says.
April 02, 2020
FINRA Bars Ex-LPL Rep Over 'Reckless Misrepresentations'The former broker signed seven loan agreements for a client without the firm's authorization, FINRA says.
March 31, 2020
FINRA Bars Ex-Morgan Stanley Rep Accused of Changing Client DocsThe advisor refused to cooperate with the regulator's investigation.
March 30, 2020
SEC, FINRA Take Coronavirus MeasuresThe Securities and Exchange Commission and the Financial Industry Regulatory Authority announced several measures in mid-March in reaction to the coronavirus.
March 26, 2020
FINRA Shares 'Stay Home' Info From States, Cancels ConferenceThe regulator says more than 30 regions have issued "shelter-in-place" orders, which vary in scope and duration.
March 26, 2020
FINRA Fines Morgan Stanley $300K for Reporting ViolationsThe firm failed to report more than 1,000 fixed income transactions to TRACE, the regulator says.
March 24, 2020
Ex-Rep Wins FINRA Arb Case Against Morgan StanleyBut the award was much lower than what the broker had sought.