FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's top exam priorities for 2016
By Melanie WaddellFINRA CEO Richard Ketchum says that one of the top goals for the year is managing brokers' conflicts of interest.
January 04, 2016
Michael Oxley, Co-Author of Sarbanes-Oxley, DiesWhen ThinkAdvisor spoke with Oxley in 2011, he had not yet started lobbying Congress on the SRO issue.
December 30, 2015
Calls to FINRA Senior Helpline Uncover Emerging ScamsThe helpline has aided FINRA in identifying new scams, including tax fraud, bogus lottery winnings and binary options.
December 29, 2015
FINRA Fines Barclays Nearly $14M Over Mutual Fund FailuresBarclays Capital was charged with suitability violations, including 'switching' and breakpoint discount violations.
December 23, 2015
Merrill Paid $4M in Settlements Tied to Barred BrokerA 34-year industry veteran, Thomas Buck led a team including his two daughters, one of whom is also an Indianapolis Colts cheerleader.
December 21, 2015
FINRA Hits Cantor With $7.3M Sanction Over Microcap SalesThe regulator also suspends and fines both an executive and a trader for their behavior.
December 18, 2015
FINRA Fines Fidelity Over Fake Broker Who Scammed SeniorsFidelity failed to stop a woman posing as a Fidelity broker from stealing more than $1 million from nine customers, FINRA says.
December 16, 2015
FINRA Broker Arbitration Task Force Suggests 51 ChangesThe panel's biggest conclusion: Arbitrators should be paid more.