FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Merrill to Pay Brazilian Heiress $3.6M
By Janet LevauxThe case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.
September 04, 2012
NAPFA Elects Lauren Locker to Replace Ron Rhoades as ChairLocker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFAs National Board for the past two years.
August 30, 2012
SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma DealAmong the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 09, 2012
FINRA Launches Conflict-of-Interest Sweep of BDsFINRA says the sweep is just a way to better understand BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.
August 08, 2012
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SROCongressman Bachus WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.
August 01, 2012
FINRA Fee Increases May Raise Sticker Price on Financial AdviceFINRAs proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.