FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Hot-Button Exam Issues for 2014
By Melanie WaddellIn its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
January 16, 2014
VP in Conflicts Office at J.P. Morgan Securities Barred for Leaking Inside InfoGutman had the keys to the kingdom through his position at J.P. Morgan as a gatekeeper with special access to material, nonpublic information, FINRA says.
January 09, 2014
MSRB Floats Muni Advisor RuleThe proposed rule strikes an appropriate balance" and is "workable for municipal advisors of all sizes, says MSRB.
January 03, 2014
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
January 02, 2014
FINRA to focus on senior suitability annuity salesFINRA may be issuing a report on firms' practices on product-specific suitability guidelines for senior investors.
December 27, 2013
FINRA Floats System to Automatically Flag Problems With Broker Sales PracticesRegulator seeks comments on proposed CARDS system that would gather data from firms and send to FINRA before conducting onsite exams.
December 20, 2013
FINRA Bars Advisor Over Nontraded REIT SalesGary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.
December 19, 2013
Senators Prod FINRA for Broker Arb Expungement DataFINRA CEO Richard Ketchum has until Jan. 6 to tell senators how FINRA plans to address findings that it granted nearly all expungement requests.