FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Hits Betterment With $400K Fine
By Janet LevauxRegulators highlight a long list of ways the robo-advisor failed to meet its requirements during its startup period.
June 13, 2018
FSI Backs Securities America's Nagengast for Large Firm FINRA Board SeatCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.
June 05, 2018
FINRA Enforcement Units, Unite!Susan Schroeder talked about the goals of merging FINRA's two enforcement divisions: namely, making enforcement actions more "foreseeable."
May 31, 2018
FINRA's Stepped-Up Broker Background Checks to Start in JulyBeginning July 9, FINRA will conduct a public records search within 15 days of an applicant's Form U4 filing.
May 23, 2018
Here's How FINRA Defines a 'High-Risk' BrokerThe regulator looks at a number of factors to make an assessment, says head of member regulation Mike Rufino.
May 21, 2018
FINRA Would Monitor SEC Broker Conduct Rule Compliance: CookAt FINRA conference, CEO Cook discussed the SEC rule and future exam changes.
May 17, 2018
FINRA Floats Third-Party Insurance Coverage ProposalFINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule