FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA: Beware pension, settlement income stream deals
By Melanie WaddellIn a joint alert, investors were warned about what to do before buying or selling pension or settlement income streams.
May 08, 2013
FINRA Slams Three Firms for Anti-Money Laundering ViolationsFINRA announced Wednesday that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering programs and other supervisory systems to detect suspicious transactions.
May 02, 2013
SEC, FINRA Enforcement Roundup: City in California Charged With FraudAmong recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.
May 02, 2013
SEC Exam Chief Di Florio Jumps to FINRA PostIn a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 30, 2013
Sen. Franken Urges SEC to Ban ‘Unfair’ Arbitration AgreementsSen. Al Franken, D-Minn., told SEC Chairwoman Mary Jo White in a Tuesday letter to act now to prevent Wall Street brokerage firms from forcing investors into unfair arbitration agreements.
April 26, 2013
FPA Makes Two Big Pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.