FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
By Melanie WaddellFINRA's board on Thursday approved three rule proposals including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
February 07, 2014
FINRA Plans Cybersecurity Exam SweepFINRA has issued an exam letter saying it will scrutinize BDs' handling of cyber threats, fulfilling its promise to zero in on IT security.
February 05, 2014
FINRA Wallops Brown Bros. Harriman With Its Biggest-Ever AML FineFINRA fined Brown Brothers Harriman & Co. $8 million for failing to monitor trades of 6 billion penny stock shares.
February 04, 2014
FINRA Plan Seeks ‘Clearer Picture’ of Nonlisted REITsThe plan would require BDs to factor in fees and commissions when determining the share price.
January 28, 2014
FINRA seeks to block deletion of investor complaints against brokersFINRA is working on a rule to bar the deletion of an investors complaint against a broker in the public records.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
‘Improving’ FINRA Among Top Goals for BD LobbyFSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.