FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Federal Regulation

FINRA’s 5 Key Enforcement Trends to Watch in 2012

By Melanie Waddell
FINRA Issues 2012 ‘Watch List’

February 03, 2012

FINRA Issues 2012 ‘Watch List’
FINRA Issues 2012 ‘Watch List’

February 03, 2012

FINRA Issues 2012 ‘Watch List’
The Regulator of Last Resort

February 01, 2012

The Regulator of Last Resort
FINRA Files Complaint Against Schwab for Asking Customers to Sign Waiver

February 01, 2012

FINRA Files Complaint Against Schwab for Asking Customers to Sign Waiver
Red Flag Reminder

January 31, 2012

Red Flag Reminder
New Tool for BDs to Meet FINRA Rule 2111 on Suitability Standards

January 20, 2012

New Tool for BDs to Meet FINRA Rule 2111 on Suitability Standards
FINRA Fines Citigroup Global Markets $725,000

January 18, 2012

FINRA Fines Citigroup Global Markets $725,000