FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Expels Broker/Dealer Charged With Ponzi Scheme
By Janet LevauxEnforcement chief announces plans to leave SRO as well in unrelated development
February 28, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
January 26, 2010
FINRA Weighs In On Social NetworkingThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.
January 26, 2010
FINRA Weighs In On Social NetworkingThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.
January 06, 2010
FINRA Issues Warning on Green Energy ScamsCon artists using latest technology to run "pump and dump" and Ponzi schemes.
January 04, 2010
FSI Comments on FINRA Rule 2510 Discretionary Account ChangeAsks FINRA to keep old NASD rule provisions
December 31, 2009
Boomers have bad credit card habitsMore than two-thirds of Americans have credit cards, and of those, about 27 percent say they have at least four cards, a recent study found....
December 14, 2009
Editor's Choice for the Week of December 14, 2009: A Snub to FINRA, Mixed Economic MessagesWhat's happening this week.