FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Morgan Stanley Must Pay Client $160K Over Broker's Trading
By Jeff BermanThe wirehouse was found liable for failure to supervise the ex-rep, who must also pay $160,000.
May 23, 2022
Insurance Advisors Market Advisors to CongressPriorities include sales standards, Secure 2.0 and access to independent contractor status.
May 20, 2022
Wells Fargo Ordered by Arb Panel to Pay Ex-Credit Suisse Rep Over $987KThe broker accused the wirehouse of "aiding and abetting Credit Suisse's scheme to steal" his deferred compensation.
May 20, 2022
FINRA Revives Plan to Create Expungement Arbitrator RosterThe regulator has approved amendments to a rule proposal it withdrew from the SEC last year.
May 18, 2022
Ex-Morgan Stanley Reps Suspended After Making Misleading StatementsThe wirehouse terminated both brokers after they made misleading investment statements to clients and prospective clients.
May 16, 2022
SEC Plans Cyber Rule for BDsThe proposal will be similar to one issued in February for RIAs, Chairman Gary Gensler says.
May 16, 2022
FINRA Treading Carefully on Complex Product Regs: CEO Cook"Our minds are not made up about this," CEO Robert Cook tells ThinkAdvisor.
May 10, 2022
5 Ways FINRA Will Spend Its Money This YearThe regulator projects a 5% decline in revenue this year on declining corporate filings and trading volume.