FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Morgan Stanley Over Bond Infractions
By Melanie WaddellFirms must ensure that customers who buy and sell securities ... receive execution prices that are consistent with prices available in the marketplace," FINRA says.
August 15, 2013
SEC approves more BrokerCheck transparencyThe public will get even more access to broker disciplinary information now that the SEC has approved amendments to FINRAs Rule 8312.
August 12, 2013
FINRA finds violations in broker's YouTube videoFINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
August 06, 2013
FINRA Alert: Brokerage Imposters Do It Old-Fashioned WayStep aside, Internet schemers, the newest imposters on the block are phony phone callers from fake brokerage firms.
July 30, 2013
BrightScope Defends a Business Model Modeled After MorningstarBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.
July 22, 2013
FINRA Beefs Up MBS TransparencyFINRA announced Monday that its Trade Reporting and Compliance Engine will now provide increased transparency in mortgage-backed securities issued by Fannie Mae, Freddie Mac, Ginnie Mae and in securities backed by SBA-guaranteed loans.
July 12, 2013
Broker Bonus Plan: Death by Delay?FINRAs decision to postpone considering a rule to require that brokers recruitment bonuses be disclosed when they switch firms has one industry attorney speculating the rule may be on the chopping block.
June 27, 2013
SEC, FINRA Enforcement: StateTrust Investments Fined for Corporate Bond FraudAmong recent enforcement actions, FINRA ordered StateTrust Investments to pay more than $1.3 million for excessive markups and markdowns in corporate bond transactions.