FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Broker Who Lost Customers $3M Through Churning: Enforcement
By Emily ZulzFINRA also fined Kestra for share class violations.
April 15, 2019
FINRA Bond Sale Reporting Change Might Help Life InsurersInvestment mangers at Voya and Allianz' Pimco unit are some of the experts looking at the proposal.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
March 28, 2019
FINRA Files to Allow TRACE to Be Corporate Bond HubIf the SEC approves, TRACE will become a centralized source of comprehensive and timely information about new issues.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP