FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension Plans
By Marlene Y. SatterIn other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.
April 10, 2014
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers SayAdvocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 08, 2014
FINRA Launches Retrospective Review of RulesFINRA is looking at rules on communications with the public and noncash compensation to see whether they are meeting their "investor protection objectives."
April 07, 2014
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to IndependenceFrom pain and humiliation to a quite positive experience, seven brokers tell ThinkAdvisor their stories of breaking away.
March 27, 2014
FINRA Enforcement: Arbitrator Dismissed for Phony CredentialsIn addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
March 27, 2014
FINRA Examining Trading in New Puerto Rico BondsThe Financial Industry Regulatory Authority said its examining trading in the $3.5 billion of general-obligation bonds that Puerto Rico sold this month.