FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Playing With Fire: CCOs and Lawyers Who Got Burned by Regulators
By Melanie WaddellAfter analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.
September 21, 2012
FINRA Seeks to Require Members to Link to BrokerCheckFINRA is asking the SEC to approve amendments to BrokerCheck, including requiring firms to include a reference and a link to BrokerCheck on their websites.
September 14, 2012
Merrill to Pay Brazilian Heiress $3.6MThe case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.
September 12, 2012
New Hire Roundup: FINRA Names New Corporate Communications HeadThis week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications, and Neuberger & Berman welcomed Brendan Gill.
September 04, 2012
FINRA Regulatory Head Luparello Leaving to Join D.C. Law FirmFINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.
September 04, 2012
NAPFA Elects Lauren Locker to Replace Ron Rhoades as ChairLocker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFAs National Board for the past two years.
August 30, 2012
SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma DealAmong the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.