FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Nominates Large, Small Firm Members for Disciplinary Panel
By Melanie WaddellSEC also approved amendments to FINRA customer and industry arbitration rules.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.
July 27, 2017
Deutsche Bank, JPMorgan Among Firms Fined $4.75M for Market Access ViolationsThe firms violated various provisions of the SECs Market Access Rule and related exchange supervisory rules.
July 26, 2017
Wells Fargo FiNet Adds 2 Merrill Teams in California: Recruiting RoundupAs the bank's recent data leak grabs headlines, Dynasty Financial brings on one of its former reps and staff.
July 26, 2017
FINRA Names Schroeder New Enforcement Head, Plans New UnitThe unit will ensure a "uniform approach to charging and sanctions" and help FINRA "better target developing issues."
July 22, 2017
Wells Fargo Shares Private Info on 50,000 Clients and Advisors: ReportThe data release includes clients' portfolio and asset information, as well as FA compensation and client lists, according to The New York Times.
July 21, 2017
FINRA Advances Crackdown on Bad BrokersFINRA also wants the SEC to allow the SRO to expand its pool of non-arbitrators.
July 17, 2017
FINRA Fines Edward Jones for Supervisory FailuresThe broker-dealer issued some 52 million client reports without required supervision, the regulator says.