FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Broker Who Defrauded Older Clients Sentenced to Over 5 Years in Prison
By Jeff BermanThe former Mutual of Omaha rep was also ordered to pay restitution of $2.4 million to his victims.
June 03, 2021
Ex-Cetera Rep Gets 5-Year Prison Sentence for Defrauding ClientsThe former broker had pleaded guilty to wire and bank fraud on Jan. 14.
June 02, 2021
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity TheftThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.
May 28, 2021
FINRA Withdraws Rule Creating Expungement Arbitrator RosterFINRA temporarily withdrew the rule from SEC consideration, saying it might revise it.
May 28, 2021
FINRA OKs Advisory Committee Term Limits, Adjusts CE FeesTerm limits for members of FINRA's 12 advisory committees are intended to promote diversity.
May 27, 2021
Gamification Offers Benefits, Risks to BDs and Clients: FINRAA FINRA panel also warned reps to be careful what they say in their social media posts.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.