FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Broker for Working Against Interests of His Firm, Clients
By Jeff BermanThe rep also provided a false response to FINRA during its investigation of his actions.
January 15, 2020
FINRA, SEC Warn of Ongoing Cyber ThreatsPhishing, ransomware and disgruntled ex-workers are among the many challenges firms face.
January 15, 2020
FINRA Seeks Comments on Rule Requiring Complaints, Arb Claim ReportsFINRA is seeking comments on which data BDs should be required to report.
January 10, 2020
FINRA's Top 5 Exam Priorities in 2020Reg BI and Form CRS compliance is Job No. 1. But it isn't the regulator's only focus.
January 08, 2020
Defunct BD Sues FINRABlackBook Capital and its former president accuse the regulator of bias and libel.
January 07, 2020
FINRA Bars Brokers Accused of ForgeryThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
January 06, 2020
FINRA Hits Merrill Over Muni SalesThe firm made 105 customer transactions in a municipal security at amount lower than the minimum denomination, FINRA says.
January 03, 2020
FINRA Bars Brokers Who Wronged Elderly ClientsThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.