FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Advisor on Active Military Duty Fights Morgan Stanley Over Arb Case
By Jane Wollman RusoffLt. Cmdr. Harvey R. Klyce lost a false-inducement case against Morgan Stanley. The SEC is his last hope, he tells ThinkAdvisor.
March 09, 2018
FINRA Updates Business Continuity, Disaster Recovery GuidanceFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.
March 07, 2018
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award"My outlook for retirement: working many years into my late 60s," said Bruce Wilkerson, now a machinist.
March 06, 2018
Bill Requires FINRA to Foot Unpaid Arb BillsSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 01, 2018
Sen. Warren Leads Query to SEC, FINRA on Sexual Harassment in FinanceThree female senators are probing the SEC and FINRA on how widespread sexual harassment is in the financial services sector.
March 01, 2018
Why Has the Number of FINRA Firms Declined?Many of the firms that left shouldn't have been in business in the first place, Susan Axelrod says.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.
February 28, 2018
FINRA's Top 5 Fine Categories in 2017While restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…