FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Completes Enforcement Unit Revamp
By Melanie WaddellThe reorganization is intended to "ensure a more consistent and foreseeable enforcement program."
July 13, 2018
Cloud Storage Helps FINRA Process 'Unprecedented' Amount of Market Activity"Our staff has access to petabytes of data in seconds or minutes," FINRA's tech chief says.
July 09, 2018
FINRA Wants Info on BDs' Digital Asset ActivityIn a just-released Reg Notice, FINRA wants BDs to "promptly notify" the self-regulator.
July 05, 2018
FINRA to Take Over Review of Public Records for Broker HiresBeginning July 9, FINRA will verify information provided by candidates for brokerage or investment advisor jobs, saving BDs time and money.
July 03, 2018
Here's How Much FINRA Execs Were Paid in 2017Total executive compensation is down slightly from a year earlier, FINRA reports.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.
June 27, 2018
FINRA Revs Up CRD, BrokerCheck OverhaulThe BD regulator's heightened review of brokers' backgrounds kicks in this month.