FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA to Crack Down on 529 Plan Share Class Recommendations
By Melanie WaddellTo be eligible for a new voluntary disclosure program, broker-dealers must self-report to FINRA Enforcement by noon on April 1.
January 22, 2019
FINRA Releases 2019 Exam PrioritiesThe annual letter highlights ongoing issues like cybersecurity along with some new areas of focus.
January 18, 2019
Broker Barred for Concealing Commissions From Native American Tribe: EnforcementMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 02, 2019
FINRA Seeks SEC Approval of Dispute Resolution RulesOne rule would prohibit compensated non-attorney representatives from practicing in the FINRA arbitration and mediation forum.
December 27, 2018
BD Fined $100K for Not Protecting Client DataThe violations took place over a five-year period, Massachusetts securities regulators say, and involved the use of a third-party CMS.
December 26, 2018
FINRA Hits Morgan Stanley With $10M Fine Over AML FailuresThe broker-dealer's anti-money laundering efforts did not meet Bank Secrecy Act requirements in three areas between 2011 and 2015.
December 21, 2018
FINRA Slams Ex-Morgan Stanley Broker Ami Forte Over Trades in Billionaire's AccountThe former star broker is accused of excessive trading; she accuses FINRA of "strong-arm and coercive tactics."
December 21, 2018
FINRA Issues Report on Best Cybersecurity PracticesThe group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.