FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Developing Machine-Readable Rulebook
By Melanie WaddellFINRA is seeking comment on the rulebook initiative, which offers quick access to 40 commonly searched rules.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 10, 2022
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities BusinessRonald T. Molo was previously indicted for defrauding three investors out of about $800,000.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 05, 2022
Barclays Hit With $2M Fine Over Best Execution FailuresThe firm routed customers' orders first to its own alternative trading system unless they opted out, FINRA said.
September 30, 2022
Big BDs Could Face Heftier Fines Under New FINRA Rules"This is one of the most significant revisions to the Sanction Guidelines in decades," a former FINRA enforcer says.
September 26, 2022
Here's What Gets Brokers Barred, According to FINRAThe regulator brings about 400 to 500 cases a year against individual brokers, its deputy enforcement chief says.