FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Moves to Allow Performance Projections in Some BD Marketing
By Melanie WaddellThe proposal aligns with the SEC's marketing rule for RIAs.
October 19, 2023
Ex-Broker Who Used Client Funds to Pay Taxes, Buy Race Car Items Gets 10-Year SentenceThe judge also ordered the former broker to pay $3.5 million in restitution.
October 18, 2023
Citadel Securities, ASA Sue SEC Over CATSEC "has overstepped its statutory authority and failed to address investor and industry concerns, leaving us no choice but to litigate," they said.
October 12, 2023
FINRA's Cook: 'Mission Accomplished' With CAT DatabaseCook also signaled that paring back the amount of information collected via CAT may be warranted.
October 06, 2023
FINRA Files to Limit Non-Lawyers' Work on Arb CasesParties in FINRA-arbitrated disputes would no longer be allowed to pay non-attorneys to represent them.
October 06, 2023
900 Individuals Returned to Industry Using FINRA Continuing Ed ProgramThe Maintaining Qualifications Program is open for enrollment until Dec. 31.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.