FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
TD Ameritrade Clearing Hit With $500K Fine
By Melanie WaddellConfirmations sent to nearly 10 million clients did not disclose that the ETNs and preferred securities in question were in fact callable, FINRA said.
June 01, 2023
House Passes Bill to Require Accredited Investor ExamUnder the bill, the SEC would devise the exam and FINRA would administer it.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.
May 23, 2023
FINRA Fines 5 Firms for Reg BI, Form CRS ViolationsSome firms failed to file a timely Form CRS while others failed to acknowledge prior disciplinary history.
May 22, 2023
Wells Fargo Rep Made His Friend a Client's Beneficiary: FINRAThe regulator has suspended the broker for 45 days and fined him $5,000.
May 19, 2023
More Sweeps, Reg BI Cases on the WayMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 17, 2023
FINRA Plans More Remote Work RulesAlso under consideration is an update to FINRA's outside business activity rule, according to CEO Robert Cook.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.