FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Enforcement: Arbitrator Dismissed for Phony Credentials
By Marlene Y. SatterIn addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
March 24, 2014
LPL Financial Fined $950,000 by FINRA Over Alt SalesLPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.
March 21, 2014
BDs Blast FINRA’s CARDS Plan on Privacy RiskFSI and other broker-dealer trade groups say FINRA's plan to collect vast amounts of account data comes with "serious privacy" concerns and significant costs.
March 18, 2014
SEC, FINRA to Hold Joint Regional BD Compliance SeminarsRegistration is open now for programs to be held in April and June.
March 17, 2014
FINRA fines Triad Advisors, Securities AmericaFINRA fined the two brokerages for failing to supervise the use of consolidated reporting systems.
March 14, 2014
FINRA sends broker bonus plan to SEC for approvalAfter reviewing the proposal, the SEC could put it out for public comment or approve it.
March 14, 2014
FINRA Sends Broker Bonus Plan to SEC for ApprovalIf approved, brokers would need to disclose their recruitment comp to clients following them to their new firm for a year after the broker's move.
March 12, 2014
FINRA Fines Triad, Securities America $1.2MSupervisory failures at the two Ladenburg Thalmann-owned IBDs led to customer reports that had false information and concealed misconduct, FINRA says.