FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA: Beware Pension, Settlement Income Stream Deals
By Melanie WaddellIn a joint alert issued Thursday, the SEC and FINRA provide investors with information about what to do before buying or selling such rights and urge them to proceed with caution.
May 02, 2013
SEC, FINRA Enforcement Roundup: City in California Charged With FraudAmong recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.
May 02, 2013
SEC Exam Chief Di Florio Jumps to FINRA PostIn a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 30, 2013
Sen. Franken Urges SEC to Ban ‘Unfair’ Arbitration AgreementsSen. Al Franken, D-Minn., told SEC Chairwoman Mary Jo White in a Tuesday letter to act now to prevent Wall Street brokerage firms from forcing investors into unfair arbitration agreements.
April 26, 2013
FPA Makes Two Big Pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.
April 15, 2013
FINRA Charges John Thomas Financial, CEO in Penny Stock ScamCEO Anastasios "Tommy" Belesis appeared in the film Wall Street 2: Money Never Sleeps.