FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends a Top Advisor for Cheating on CE Coursework
By Janet LevauxBruce K. Lee, formerly with Merrill and now with an RIA, had staffers complete his CE training for nearly four years.
October 08, 2019
FINRA Updates Reg BI Webpage With Compliance ChecklistThe checklist outlines major requirements and notes differences between FINRA and rules and SEC's Reg BI and Form CRS.
October 04, 2019
FINRA Board Approves Expungement ChangesFINRA approved creating a roster of arbitrators with enhanced training to decide whether to expunge customer complaints about brokers.
October 02, 2019
Number of BDs Continues Steady Decline, FINRA Report ShowsThe report "is further evidence of the decline of the broker-dealer model," said former FINRA enforcement chief Bennett.
October 02, 2019
FINRA Slaps UBS With $2M Fine for Repeat Muni ViolationsUBS failed to timely address municipal short positions and inaccurately represented the tax status of thousands of interest payments to customers.
September 23, 2019
FINRA Answers Questions on BDs' Electronic CommunicationsFor example: What should brokers know about disclosures in marketing materials?
September 19, 2019
FINRA Enforcement Chief Schroeder to Leave Later This YearFINRA will search both internally and externally for Schroeder's replacement.
September 16, 2019
FINRA Slaps J.P. Morgan Securities for Lapse in Disclosing Reps' MisconductJ.P. Morgan's failures prevented FINRA from pursuing enforcement actions.