FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Sends Market Manipulation Report Cards
By Melanie WaddellThe regulator also wants to add another member to its disciplinary tribunal, NAC.
March 30, 2016
CFP Board’s Mandatory Arb Plan: Significantly Better Than FINRA’sThe Board's timing and use of mandatory arbitration as the solution virtually cry out for comparisons to FINRAs controversial arbitration program.
March 28, 2016
The Mysterious Case of the Unpaid Arbitration AwardsToo many investors win securities arbitration awards and never see a penny, Bob Clark writes.
March 28, 2016
Regulators’ Secret Weapon Against CyberattackersFINRA and the SEC continue their concerted efforts to ensure financial firms compliance with cybersecurity regulations.
March 25, 2016
SEC Approves FINRA’s Broker Comp Disclosure RuleUnder the rule, customers will have a more complete picture of the potential implications of a decision to transfer assets when a broker switches firms.
March 25, 2016
FINRA Enforcement: CEO Used Company Money to Buy His Relatives’ ArtworkIn another action, FINRA fined Ameriprise for failing to send account records to some customers.
March 16, 2016
FINRA Fines Raymond James for Violating Customer PrivacyThe broker-dealer will pay $500,000 over the use of client data by its transition staff.
March 03, 2016
FINRA Mulls Crackdown on Arb Award DeadbeatsFINRA members "are barred" if they dont pay, Ketchum told a Senate panel. However, if firms go broke or leave FINRA, the regulator loses jurisdiction.