FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Morgan’s Mandatory Arb Program ‘Stinks to High Holy Hell,’ Lawyer Says
By Jane Wollman RusoffThe companys controversial CARE program, which keeps employee disputes out of court, has created a big headache for FINRA.
November 03, 2016
Senators Challenge Wells Fargo Over Fired EmployeesFINRA records show that some bank staff were let go as early as 2011, raising more questions about its response to the fraud.
November 02, 2016
FINRA Nails Cetera, Voya & 6 Others Over VA SalesFirms hit with $6.2M in fines for supervisory failures related to variable annuity L-shares.
October 26, 2016
How to Answer When FINRA Knocks on Your DoorForward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.
October 21, 2016
FINRA Blasted for Not Fixing ‘Broken’ BrokerCheckPIABA, a group of lawyers who represents investors, says that FINRA wasted money on TV advertising pushing its flawed system.
October 20, 2016
Senior Safe Act Could Be Signed Into Law by Year-EndSenior financial abuse will only continue to grow as the senior population increases by 10,000 people per day through 2030, says SIFMA's Hammerman.
October 19, 2016
FINRA Close to Filing Fraud Rule for ‘Vulnerable’ InvestorsFINRA senior helpline has received 6,700 calls to date. Top call queries: education, variable annuities, BrokerCheck.
October 17, 2016
SEC Launches New FINRA Inspection TeamFINRA and Securities Industry Oversight group, headed by Kevin Goodman, chief of the agencys BD exam program, is now up and running, says SEC.