FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Aims to Simplify Its Digital Interactions With Firms
By Melanie WaddellThe transformation is to be implemented in stages through 2022 and is focused on six areas.
May 06, 2019
New FINRA CAT Subsidiary to Develop Consolidated Audit TrailThe new subsidiary, FINRA CAT, was created after the contractor working on the system was fired.
May 02, 2019
FINRA Plans Restrictions on BDs With History of Hiring Bad BrokersThe proposed rule, out for comment until July 1, includes requiring a BD to have a fund to cover unpaid arbitration awards.
April 29, 2019
2019 IA25 Independent Broker-Dealer WinnersHere are this year's top vote getters in the independent broker-dealer field.
April 26, 2019
SEC's Reg BI Doesn't 'Raise the Bar' Over FINRA's Suitability Rule: Consumer GroupsConsumer advocacy groups tell SEC's Jay Clayton what's lacking with the agency's rule.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 22, 2019
FINRA Reminds BDs of Business Continuity, Disaster Recovery DutiesReg Notice 19-15 consolidates FINRA's designation criteria for BDs that must have such plans without change.