FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Advisor Solicited Client Money for Film Business, Regulators Say
By Dinah Wisenberg BrinChecks to Canal Productions represented self-dealing at an elderly client's expense, the inquiry alleges.
November 08, 2023
Baird to Pay $519K Over Excessive Mutual Fund Sales ChargesCustomers didn't receive sales charge waivers and fee rebates to which they were entitled.
October 25, 2023
Lawyers Enlist State Regulators in Fight to Stop Brokers From Erasing ComplaintsPIABA is offering training for state regulators as a new FINRA rule gives them new authority in expungement cases.
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.