FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
2021 News of the Year
By Jeff Berman, Bernice Napach, Ginger Szala and Melanie WaddellWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 17, 2021
FINRA: Ex-Northwestern Mutual Rep Misused Funds Raised for Kids' Cancer CharityFINRA barred the broker for allegedly sending donated funds to his own bank account instead of the charity they were supposed to go to.
November 16, 2021
FINRA Looks to Hold More Exams, Arb Hearings VirtuallyThe regulator says it will probably take a more "risk-based approach" in deciding whether to conduct an exam on-site.
November 16, 2021
Financial Firms Eye Up Instagram, YouTube; Compliance Pros Remain WarySocial media poses a reputational risk to firms as it explodes in volume and complexity, according to Hearsay Systems.
November 15, 2021
Ex-J.P. Morgan Rep Claimed He Ran Gardening Business to Get COVID Loan: FINRAFINRA has suspended the former broker from the industry for seven months.
November 11, 2021
FINRA's New Fingerprint Process Starts Dec. 6BDs and funding portals must send fingerprints to FINRA's designated fingerprint provider, Sterling.
November 10, 2021
Love or Hate Social Media, Advisors Need to Be CompliantThe "Roaring Kitty" debacle highlights the dangers firms run into when they have lax controls on new marketing tools.
November 09, 2021
FINRA Fines Aegis Capital Over Unsuitable TradesNearly 70 customers' accounts were potentially excessively and unsuitably traded by the firm's reps, according to FINRA.