FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Arizona BD Sues FINRA for 'Choking' Microcap Markets
By Melanie WaddellFINRA wants to levy a $1.5 million fine against the firm in a microcap-related case.
December 10, 2018
Ron Carson Tells Why He's Dropping His FINRA LicenseIn an interview with ThinkAdvisor, Carson also says market volatility makes him "excited."
December 07, 2018
Ron Carson's Registration Drop Shows 'FINRA's Days Are Numbered'"FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It's not happening."
December 07, 2018
FINRA Exam Report: 5 Big Problem Areas for Brokers in 2018The regulator zooms in on sales of variable annuities and volatility-linked products, among other areas.
December 04, 2018
FINRA Offers Guidance to BDs on 'Unexpected' Market ClosingsAs a day of mourning is declared for President George H. W. Bush, FINRA sets out how to handle various rules.
December 03, 2018
FINRA Files to Allow BDs to Receive E-SignaturesBDs have said not being allowed to obtain e-signatures puts them at a "competitive disadvantage" to RIAs.
November 28, 2018
FINRA's Havlik Explains the Consolidated Exam ProgressChanges will unfold throughout 2019 and not come in "one Big Bang," according to the regulator.
November 27, 2018
LPL Hit With $2.75M FINRA Fine Over Cyber InfractionsFINRA found fault with LPL's AML program.