FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Goldman Clearing Arm to Pay $1.8M FINRA Fine Over OATS Violations
By Melanie WaddellGoldman Execution & Clearing was fined for more than eight years of Order Audit Trail System-related failures.
July 10, 2015
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS TeamThe four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.
July 07, 2015
‘Dissident’ Candidate Vies for FINRA Board SeatWith FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
June 30, 2015
FINRA Earnings Surge as Fines DoubleThe self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
June 26, 2015
4 Steps to Transfer Deceased Parents’ Brokerage Assets: FINRAAfter taking a flood of calls from children of deceased parents on its new senior helpline, FINRA issues an alert on transferring brokerage assets.
June 22, 2015
Morgan Stanley, Scottrade Fined by FINRA for Failing to Detect Fraudulent Wire TransfersThe firms were alerted to gaps in their systems but went years without correcting them, FINRA says.
June 01, 2015
FINRA Boosts Asset-Backed Securities Market’s TransparencyBy Dec. 4, asset-backed securities transactions will be available to the public no later than 15 minutes after the trade is executed.
June 01, 2015
FINRA BrokerCheck Ad Campaign Supported by Huge Fine VolumeFINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.