FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Board Approves Expungement Changes
By Melanie WaddellFINRA approved creating a roster of arbitrators with enhanced training to decide whether to expunge customer complaints about brokers.
September 23, 2019
FINRA Answers Questions on BDs' Electronic CommunicationsFor example: What should brokers know about disclosures in marketing materials?
September 19, 2019
FINRA Enforcement Chief Schroeder to Leave Later This YearFINRA will search both internally and externally for Schroeder's replacement.
September 16, 2019
FINRA Slaps J.P. Morgan Securities for Lapse in Disclosing Reps' MisconductJ.P. Morgan's failures prevented FINRA from pursuing enforcement actions.
September 13, 2019
FINRA Points Out Common Mistakes for Firms to AvoidSenior staffers provided tips at the regulator's institutional conference.
September 11, 2019
FINRA Plans Major Rule Review in Wake of Reg BIThe overhaul of FINRA's rulebook will happen in two phases, CEO Robert Cook says.
September 08, 2019
Client, 1; Wells Fargo, 0: Wirehouse Loses in Nevada Fiduciary CaseAn investor cites the state's recent fiduciary rule in her complaint before FINRA — and the ruling goes her way.
September 06, 2019
FINRA Suitability Rule Likely a 'Non-Factor' Due to Reg BI: AttorneyFINRA can likely bring suitability cases under Reg BI instead, writes Bates Group's Hank Sanchez in a just-released paper.