FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Budget, Released for First Time, Shows Revenue Problems
By Melanie WaddellThe regulator plans to use cash reserves instead of raising fees to cover the shortfall.
December 22, 2017
Broker Charged With Illegally Accepting $1M in Cash Kickbacks: EnforcementRaymond James and Merrill Lynch both receive million-dollar FINRA fines.
December 22, 2017
Here Are FINRA’s Plans for 2018Changes in FINRAs suitability rule and streamlining of restrictions on outside business activities are on tap for the new year.
December 21, 2017
6 Ways to Avoid a Cryptocurrency Stock Scam: FINRAFINRA issues an Investor Alert on how to avoid getting ensnared in a cryptocurrency pump and dump scheme.
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.
November 30, 2017
FINRA to Revamp Exam ProgramFINRA is taking a broader look at our exam programs, CEO Robert Cook says.