FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Impersonators Are Scamming Investors, Regulator Warns
By Melanie WaddellFINRA has released an Investor Alert on fraudsters using FINRAs name and logo in correspondence including a fake signature of CEO Cook.
February 05, 2018
FINRA Fines Wedbush $1.5M for Customer Protection, Net Capital Rule ViolationsThe BD failed to keep enough cash in reserves, FINRA says.
February 05, 2018
FINRA Senior Protection Rules Kick InFINRAs rules will make brokers more confident of their ability to act without repercussions, but NASAAs model act goes further, says consumer advocate Barbara Roper.
February 01, 2018
FINRA Revamps Advisory Committees, Adds 2 New OnesThe new committees focus on specialized issues involving clearing firms and capital acquisition brokers.
January 31, 2018
FINRA Files to Amend Arbitrator Hearing ProceduresMeanwhile, the comment deadline nears on FINRA's plan to set up a roster of arbitrators to decide expungement requests
January 29, 2018
FINRA Issues Roadmap on New Year PrioritiesBroker-dealers started the new year with a roadmap from the Financial Industry Regulatory Authority on what to expect during exams, as well as new rules that theyll be expected to comply with this year.
January 25, 2018
Broker Fined for Impersonating Rival With Online Sex AdsWhen an Edward Jones broker in California wanted to exact revenge on a rival, he went too far.
January 22, 2018
FINRA Launches Helpline for Small FirmsThe helpline is intended to help firms get faster answers on routine matters, CEO Robert Cook says.