FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA to Host BD Compliance Outreach Symposium
By Melanie WaddellTopics range from cybersecurity to investing by seniors.
April 10, 2017
FINRA Updates Sanction Guidelines to Include Vulnerable IndividualsFINRA's revised guidance also covers sanctions imposed by other regulators.
April 07, 2017
FINRA’s 6 Steps to Recovery for Fraud VictimsThe industry group outlines the details of what investors can do after being affected by financial crime.
March 27, 2017
FINRA Chief Cook Welcomes BD, Advisor Regulatory ReviewFINRA "must be willing to consider any changes that will better serve the interests of investors," says CEO Cook.
March 21, 2017
Don’t Lose Money Twice With Binary Options Follow-Up Schemes: FINRAFINRA is aware of instances in which a binary options customer hears from individuals who claim they can help the customer get back lost money.
March 21, 2017
FINRA Seeks Broker-Dealer Comments on Its ProgramsA special notice, part of the FINRA360 initiative, asks for feedback by May 5.
March 20, 2017
FINRA Hires Senior Advisor to CEO CookNathaniel Stankard will provide advice on such issues as FINRAs strategic review of its operations.
March 17, 2017
FINRA Plays ‘Gotcha’ With Brokers, Short-Changes Investors: Hester PeirceThe former nominee for SEC commissioner tells ThinkAdvisor why the SEC is a better regulator than FINRA and what's wrong with Dodd-Frank.