FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Merrill Grabs 6 Reps From Morgan Stanley, Others
By Janet LevauxThe recruited reps have about $710 million in assets and $5 million in production.
November 20, 2014
SEC Fines Wedbush $2.4M in Market Access Case; FINRA Complaint on DeckLos Angeles-based Wedbush Securities and two top officials agreed to settle a pending SEC case for market access violations.
November 19, 2014
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office EquipmentThe former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
November 17, 2014
FINRA Proposes Pay-to-Play RulesFINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
November 14, 2014
SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme HaltedMeanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
November 11, 2014
Are Changes Coming to FINRA Exams?At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
October 30, 2014
FINRA Names Berry Head of ArbitrationFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 27, 2014
What to Do When the Examiners Visit Your PracticeAdvisors love to learn from other advisors, which is why about 75 of them showed up early for a compliance session at Commonwealth's national conference.