FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Firm Fined Over Interfund Loans
By Marlene Y. SatterMeanwhile, FINRA censures and fines Thrivent Investment Management for failing to deliver thousands of trade confirmations of mutual fund transactions.
March 05, 2015
Advisor Exam Changes Afoot: IAA’s Chief LobbyistIAA's Neil Simon says exam changes are coming for the same reason the DOL fiduciary rule won't languish at OMB: the political pressure is on.
March 04, 2015
New FINRA Rule to Have ‘Detrimental Impact’ on Arb Process: SutherlandThe rule, just approved by the SEC, could cause a shortage of public arbitrators, a lawyer says.
February 20, 2015
FINRA’s 5 biggest fine categories in 2014Fines involving seniors and retirees went through the roof compared with 2013, with restitution in these cases leaping from $1.7 million to $26 million.
February 19, 2015
SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect MatchThe SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 11, 2015
FINRA Hires SEC Data Analytics Guru Kurtas for New PostKurtas will focus on improving how FINRA analyzes and uses the data it currently gathers from firms, the self-regulator says.
February 06, 2015
SEC, FINRA Enforcement: Ex-Barclays Analyst, 3 Others Fined for Insider TradingMeanwhile, FINRA has fined Bloomberg Tradebook on short sale violations.