FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
As Indie BDs Dwindle, Is FINRA Outdated?
By Melanie WaddellBrad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 17, 2017
FINRA Watching Falling Number of BDs, CEO Cook SaysAt FINRA annual, Cook talks about FINRA360 and the odds that FINRA will seek to become an advisor SRO.
May 17, 2017
FINRA to Issue Exam Trouble Spots ReportFINRA will provide firms with a "new report that will summarize key examination findings from across our programs," said CEO Robert Cook.
May 16, 2017
Former Vanguard CEO Brennan 'Bullish' on DOL Fiduciary RuleJack Brennan, the FINRA chairman, says funds and share classes are evolving to investors' benefit regardless of the fate of the rule.
May 15, 2017
FINRA Seeks Comments on Outside Business Activities, Private SecuritiesFINRA is seeking feedback from member firms on rules governing broker-dealer employees business and securities activities carried out away from their firm.
May 11, 2017
FINRA to Clamp Down on High-Risk Brokers With Tougher RulesThe group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
May 10, 2017
Robert Cook — BD Regulator in Chief: The 2017 IA 25While FINRA stands ready to fill advisor exam gap, Cook is unlikely to initiate a new battle for advisor oversight, says an ex-FINRA enforcement chief.
May 05, 2017
FINRA Mulls Heightened Oversight of High-Risk BrokersAt its May 10 meeting, the board also plans to consider issuing more guidance on unpaid arb awards.