FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Warns BDs of Impending AML Rule Compliance Deadline
By Melanie WaddellThe regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
November 09, 2017
FINRA Bars Broker Who Ripped Off Blind, Elderly WidowHank Mark Werner received commissions for recommending that a client purchase an unsuitable variable annuity.
November 08, 2017
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play ActivitiesGovernment plan solicitors can continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime, says Cipperman.
October 26, 2017
FINRA Regulatory Chief Axelrod to DepartAfter 28 years at FINRA and its predecessor, Susan Axelrod will step down.
October 23, 2017
PIABA Names a New PresidentProtecting DOL fiduciary rule and setting up an unpaid arb award pool for investors are among Andrew Stoltmann's priorities during his one-year term.
October 20, 2017
FINRA Ready to Provide ‘Technical’ Aid on Fiduciary Rule, Legal Chief SaysFINRA has a "good working relationship" with Labor and SEC and is ready to help with coordinating a rule, Chief Legal Officer Robert Colby says.
October 18, 2017
FINRA Seeks Comments on Changes in Arbitration RulesOne amendment seeks to help further address the issue of unpaid customer arbitration awards, says FINRA's Berry
October 16, 2017
FINRA Orders Wells Fargo to Pay $3.4M Over Volatility-Linked ETPsReps recommended the exchange-traded products without fully understanding their risks, FINRA said.