FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Rep Wins FINRA Arb Case Against Morgan Stanley
By Jeff BermanBut the award was much lower than what the broker had sought.
March 17, 2020
FINRA Suspends Ex-Merrill Rep for Cheating on Exams TwiceThe ex-broker was caught with notes during two separate industry exams less than a month apart, the regulator says.
March 16, 2020
SEC Extends Some Form ADV Deadlines; FINRA Cancels EventsExtensions "provide additional time so affected funds and advisers can continue meeting the expectations of their investors and clients," SEC Chairman Clayton said.
March 13, 2020
FINRA Tweaks Suitability Rule to Address Reg BI ConflictsFINRA is also adjusting its noncash compensation rules.
March 10, 2020
FINRA Starts Reporting Data on Treasury Securities Trading VolumeMaking Treasury aggregate statistics available every week will add more transparency to the marketplace, it says.
March 10, 2020
FINRA Suspends Ex-Summit Rep for Altering DocumentsFirm had terminated rep after he filled in missing information from clients' documents and submitted them.
March 10, 2020
FINRA Suspends Ex-Morgan Stanley Rep Over Gunsmith BusinessThe rep failed to notify the firm of the "full nature" of his activity, FINRA says.
March 06, 2020
FINRA Suspends Ex-Lincoln Rep Tied to Woodbridge Ponzi SchemeThe former broker engaged in outside business related to Woodbridge despite Lincoln prohibiting him from doing so.