FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, DOL, FINRA Enforcement: SAC Capital Could Plead Guilty
By Marlene Y. SatterAmong other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 18, 2013
FINRA Warns BDs to Better Manage Conflicts of InterestFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 16, 2013
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: StudyAn author of the study by PIABA, a legal group, says that this a "major investor protection problem."
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 Critical Questions to Prepare for FINRA Suitability ExamsIf you can't answer these questions, securities lawyer Josh Horn says, it's time to "revisit your policies and procedures before FINRA does it for you.
October 10, 2013
SEC, FINRA Enforcement: Firm Owner Loots Scholarship Funds, Widow’s AccountFINRA expels firm and its owner for misusing a widow's money and a scholarship fund; SEC charges more inside traders in Heinz case.