FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Plans New Rules for Bad Brokers
By Melanie WaddellHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.
March 04, 2019
FINRA's Top Fine Categories in 2018It appears FINRA is "coming down harder" when it decides to bring a case, a lawyer says.
February 28, 2019
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 27, 2019
FINRA Seeks Feedback on Business Continuity RuleFINRA wants to know whether the costs of maintaining such a plan outweigh the benefits.
February 22, 2019
FINRA Bars and Fines Rep for Taking Money From a Client: EnforcementAlso, FINRA fined Cetera Advisor Networks for failing to respond to red flags of mutual fund switching.
February 14, 2019
FINRA Warns of BD Phishing ScamBDs reported receiving suspicious emails from a purported compliance officer working at what appears to be a legitimate credit union.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
January 30, 2019
FINRA Offers New WebCRD FeatureNew functionality allows queries on reps' information to be viewed in a single-page format; more updates to come.