FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Ketchum: 3 Top Exam Priorities for 2016
By Bernice NapachEvery year in Q1, FINRA publishes a letter about its regulatory and exam priorities. On Thursday, CEO Richard Ketchum offered a preview for 2016.
October 12, 2015
SEC OKs FINRA BrokerCheck Link RuleBDs will now have to include a "readily apparent reference and hyperlink" to BrokerCheck on their websites.
October 01, 2015
FINRA says it gave failing grade to 208 test takers by mistakeThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
October 01, 2015
FINRA says it gave failing grade to 208 test takers by mistakeThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
September 29, 2015
FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End FundsCompany failed to ensure suitability for clients of Puerto Rican CEFs that were highly invested in Puerto Rican municipal bonds; branch manager and rep charged.
September 21, 2015
FINRA’s 5 Biggest Fine Categories in First Half of 2015FINRA is on track to impose $75 million in fines this year, the second most since the financial crisis.
September 18, 2015
FINRA Floats Tougher Expungement RulesFINRA arbitration panels would have to provide a more detailed rationale for granting a rep's request to have black marks wiped off their BrokerCheck report.
September 17, 2015
FINRA Floats Plan to Help Block Elder ExploitationA rule under consideration would place a temporary hold on disbursements from accounts of elderly or disabled people if there is suspected financial exploitation.