FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA issues top 10 watch list for 2013
By Melanie WaddellETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 17, 2013
FINRA Launches Phone MediationFINRA announced Wednesday that it has launched a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation.
January 11, 2013
What’s Behind FINRA’s Newfound Move on Disclosing Broker Bonuses?A cynical observer might think the impetus for the newly "fiduciary conscious" FINRA's proposed rulemaking was to discourage brokers from demanding bonuses when they switch broker-dealers.
January 11, 2013
FINRA-Ordered Restitution Saw Big Jump in 2012The jump, to $34 million in 2012 from $19.4 million in 2011, was one highlight of FINRA's recently released annual review.
January 10, 2013
FINRA Issues Crowdfunding Portal FormFINRA issued on Thursday a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals under the JOBS Act.
January 08, 2013
FINRA Updates Guidance on Communications With PublicFINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
January 07, 2013
FINRA advances bonus disclosure plan for brokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
January 07, 2013
FINRA advances bonus disclosure plan for brokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.