FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA fines ING firms $1.2M for poor email practices
By Elizabeth D. FestaThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 13, 2013
FINRA Warning on BDCs Doesn’t Stop Market Vectors’ ETF DebutDespite FINRA's January warnings on high-risk business development companies, Market Vectors has launched the first-ever ETF to offer pure-play BDC exposure.
February 12, 2013
FINRA Up to Its Old Tricks With SRO Strategy ShiftFINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.
February 07, 2013
FINRA quietly shifts SRO efforts to SenateFINRA has set its sights on the Senate to push a bill that would give it the authority to become the SRO for advisors.
February 07, 2013
FINRA Shifts SRO Fight to Senate, as House Effort FaltersWith the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
February 05, 2013
FINRA Seeks Second Round of Comments on Markups, Commissions PlanAfter being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
January 24, 2013
SEC, FINRA Enforcement Roundup: Egan-Jones Settles Over False StatementsRecent enforcement actions taken by FINRA and the SEC include an order against Westor Capital and its president for misuse of customer shares and funds.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.