FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Unveils Trade Prices in $1.5 Trillion Private-Bond Market
By Lisa AbramowiczInvestors have access to public price information in the $1.5 trillion market for privately sold corporate bonds beginning today.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
June 16, 2014
FINRA Wallops Merrill: $8M Fine, $24M in Restitution for Overbilling Charities, Small BusinessesMerrill sold the retirement plans more costly mutual fund share classes and failed to waive sales fees, FINRA said.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.
June 04, 2014
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ DataFINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
June 02, 2014
FINRA makes dark pool data public to help boost transparencyFINRAs commitment to transparency is bringing light to what was previously a dark area of the equity markets.
June 02, 2014
FINRA Provides Free ‘Dark Pool’ Data to InvestorsThe public will now be able to see the total shares traded each week by security in each dark pool outside traditional exchanges, FINRA says.