FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC OKs FINRA’s New Supervisory Rules
By Melanie WaddellThe SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
March 18, 2014
SEC, FINRA to Hold Joint Regional BD Compliance SeminarsRegistration is open now for programs to be held in April and June.
March 17, 2014
FINRA fines Triad Advisors, Securities AmericaFINRA fined the two brokerages for failing to supervise the use of consolidated reporting systems.
March 14, 2014
FINRA sends broker bonus plan to SEC for approvalAfter reviewing the proposal, the SEC could put it out for public comment or approve it.
March 14, 2014
FINRA Sends Broker Bonus Plan to SEC for ApprovalIf approved, brokers would need to disclose their recruitment comp to clients following them to their new firm for a year after the broker's move.
March 12, 2014
FINRA Fines Triad, Securities America $1.2MSupervisory failures at the two Ladenburg Thalmann-owned IBDs led to customer reports that had false information and concealed misconduct, FINRA says.
March 11, 2014
6 Bitcoin Risks for Investors: FINRAFINRA on Tuesday warned investors of the top six reasons why buying and using a digital currency such as bitcoin can be risky.
March 08, 2014
PIABA: FINRA withholding critical 'red flag' informationIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.