FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Taking on the SEC and FINRA—Sometimes It Pays
By Melanie WaddellNew research from the law firm Sutherland shows that it pays to litigate against the SEC and FINRA, particularly when it comes to fraud cases.
August 24, 2011
FINRA Warns Investors to Beware of Gold Stock ScamsIn an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.
August 23, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
August 22, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
July 29, 2011
FINRA to Take Closer Look at Mutual Fund AdvertisingResponding to mutual fund companies that charge the regulator fails to consistently communicate new interpretations of existing advertising rules for mutual funds, FINRA says it will change its ways.
July 26, 2011
FINRA Levies $5 Million Fine Against SunTrust AffiliatesThe Financial Industry Regulatory Authority FINRA fined SunTrust Robinson Humphrey and SunTrust Investment Services Tuesday for violations related to the sale of auction rate securities (ARS).
July 25, 2011
FINRA to Investors: Stay Away From Risky Junk FundsFINRA issued an Investor Alert warning investors of the dangers of complex, risky products such as high-yield, or junk, bond funds; floating-rate loan funds; structured notes with principal protection; and leveraged products.
July 22, 2011
FINRA Charged With Poor Transparency, Needs Closer Scrutiny—Compliance WatchThe non-governmental regulator lacks the 'checks and balances' of other government regulators, U.S. Chamber of Commerce charges.