FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA to mull beefing up broker background checks
By Melanie WaddellThe FINRA board will consider an amendment to its supervision rule on April 24.
April 16, 2014
FINRA to Mull Beefing Up Broker Background ChecksFINRA announced Wednesday that its board will consider a proposed amendment to FINRA Rule 3110 regarding background investigations of applicants for registration.
April 11, 2014
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card PracticesIn other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.
April 10, 2014
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers SayAdvocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 08, 2014
FINRA Launches Retrospective Review of RulesFINRA is looking at rules on communications with the public and noncash compensation to see whether they are meeting their "investor protection objectives."
April 07, 2014
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to IndependenceFrom pain and humiliation to a quite positive experience, seven brokers tell ThinkAdvisor their stories of breaking away.