FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Warns Investors About Fake Financial Designations
By Melanie WaddellThe alphabet soup of designations can be used to perpetrate fraud, FINRA warns.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
September 25, 2017
FINRA Fines Down 70% in First Half of 2017These are the five biggest FINRA fine categories for the first half, according to Eversheds Sutherland.
September 19, 2017
FINRA Releases Arbitrator Diversity Data for the First TimeThe move follows complaints that arb panels were skewed toward white men and a push by the regulator to add African-Americans and women.
September 18, 2017
Veterans Better Off Financially but Struggle With Debt: FINRAThe FINRA foundation says it has done the first comprehensive comparative analysis of the financial health of American veterans relative to non-veterans.
September 12, 2017
FINRA Fines BD Over ‘Death Puts’The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. Kings hedge fund clients.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
August 22, 2017
JPMorgan Chase's Cutler Named FINRA Large Firm Board GovernorCambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.