FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Issues 2012 ‘Watch List’
By Melanie WaddellTopping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
January 20, 2012
New Tool for BDs to Meet FINRA Rule 2111 on Suitability StandardsIpreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.
January 18, 2012
FINRA Fines Citigroup Global Markets $725,000FINRA announced Wednesday that it has fined Citigroup Global Markets $725,000 for failure to disclose conflicts of interest in its research reports and research analysts' public appearances.
January 09, 2012
The Costs of FINRA Oversight of RIAs: Running the SRO NumbersAt last, credible information on the costs of having an SROor notto oversee advisors, and what each scenario would cost RIAs in dollars and cents.
December 28, 2011
Frank Not Acting Like Lame Duck; No Fan of SRO BillRep. Barney Frank, the straight-talking Massachusetts Democrat who serves as ranking member on the House Financial Services Committee, announced in late November that he wont seek re-election and plans to retire from Congress at the end of 2012.
December 28, 2011
FINRA Fines Credit Suisse $1.75 MillionFINRA announced Tuesday that it has fined Credit Suisse Securities $1.75 million for violating Regulation SHO and failing to properly supervise short sales of securities and marking of sale orders.
December 23, 2011
FINRA Fines Barclays Capital on SubprimesFINRA has fined Barclays Capital $3 million for misrepresenting delinquency data and for inadequate supervision in connection with the issuance of RMBS.