FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
6 Bitcoin Risks for Investors: FINRA
By Melanie WaddellFINRA on Tuesday warned investors of the top six reasons why buying and using a digital currency such as bitcoin can be risky.
March 07, 2014
FINRA responds to study finding holes in BrokerCheckPIABA says BrokerCheck hides data available from the states, but FINRA says it has to be fair.
March 06, 2014
FINRA’s BrokerCheck ‘Hides’ Criminal Records, Has Other Holes, Study SaysPIABA study says extent of omitted red flag information is so serious that unwitting investors could hire brokers with criminal records.
March 05, 2014
FINRA backs off collecting personal data in CARDS planThe Financial Services Institute applauds the move but still has concerns about the CARDS plan.
March 04, 2014
FINRA Backs Off Collecting Personal Data in CARDS PlanSubmission of information will not include individual account names, addresses or tax identification numbers.
February 27, 2014
SEC, FINRA Enforcement: Fund Assets Raided to Pay Bonuses, Firm’s ExpensesAlso, FINRA censured and fined a firm $130,000 for short position reporting failures.
February 24, 2014
FINRA Fines Berthel Fisher $775,000 Over Sales of AlternativesThe IBD must hire a consultant to shape up its supervision of nontraded REITs and leveraged/inverse ETFs, the regulatory group says.
February 24, 2014
FINRA’s 5 Biggest Fine Categories in 2013Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.