FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
By Marlene Y. SatterIn another action, an investor relations firms exec was charged with insider trading.
August 15, 2014
Former SEC Chief Walter Named FINRA Public GovernorFINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRAs Board as public governor.
August 08, 2014
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t UnderstandIn other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.
August 05, 2014
Battered Morgan Stanley Breakaway Advisor Fights BackBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
August 01, 2014
FINRA Move on Brokers' Expungement a Good First StepOver the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
August 01, 2014
FINRA’s 5 Biggest Fine Categories in First Half of 2014Fines imposed by FINRA in 2014 are poised to far outpace last years, says a new analysis by the law firm Sutherland.
July 24, 2014
SEC OKs FINRA Rule on Expungement of Broker Black MarksThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
July 17, 2014
FINRA Appoints Arbitration Task ForceFINRA appointed a 13-member arbitration task force Thursday to consider possible enhancements to its arbitration forum.