FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Lawyers Acted as Brokers in Immigration Scam
By Marlene Y. SatterMeanwhile, FINRA slapped UBS for misrepresenting more than $1 million in muni bond interest paid to clients as tax-exempt.
November 16, 2015
Scottrade to Pay $2.6M FINRA Fine Over Email Retention FailuresScottrade failed to adhere to federal securities and FINRA rules under the 'Write-Once, Read-Many' or WORM format
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 03, 2015
FINRA’s CARDS Plan Dead on Table: AxelrodWere going to continue to use data to help inform our exams, FINRAs Susan Axelrod said.
October 30, 2015
FINRA CEO Richard Ketchum to Retire in 2016Ketchum's announcement comes as a new fiduciary proposal and crowdfunding rules are in the spotlight.
October 23, 2015
FINRA Enforcement: Barclays Fined $800,000 Over Reporting FailuresMeanwhile, First Southwest Co. was censured, fined for failing to deliver timely ETF prospectuses.
October 20, 2015
Cetera, Commonwealth Among 12 Firms to Pay FINRA $6.6M Over UIT Sales Charges"Firms need to ensure that their registered representatives are providing customers the sales charge discounts to which they are entitled," says FINRA enforcement chief Bennett.