FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Merrill Overcharged Clients $32M in Fees, FINRA Says
By Janet LevauxThe overcharges in fees affected 95,000 accounts over an eight-year period, making it a significant supervisory issue, experts say.
June 05, 2012
NAPFA: 8 Ways FINRA Oversight Will Hurt Indie AdvisorsNAPFA has sounded the alarm against House Financial Services Chairman Spencer Bachus bill calling for a SRO to oversee advisors.
June 05, 2012
FINRA Says Brookstone ‘Preyed on Elderly’ With Unsuitable CMOsFINRA hearing panel hits Brookstone, its CEO and a broker for $2.6 million in fines and restitution for fraudulent sales of packaged mortgages.
June 01, 2012
GAO Criticizes FINRA, SEC on OversightSerious questions are being raised about the effectiveness of FINRA and whether the SEC spends enough time overseeing this self-regulatory agency.
May 31, 2012
The GAO Chimes in on the SEC and Self-Regulatory OrganizationsSerious questions are being raised about the effectiveness of the Financial Industry Regulatory Authority (FINRA) and whether the Securities and Exchange Commission (SEC) spends enough time overseeing this self-regulatory agency.
May 31, 2012
The GAO Chimes in on the SEC and Self-Regulatory OrganizationsSerious questions are being raised about the effectiveness of the Financial Industry Regulatory Authority (FINRA) and whether the Securities and Exchange Commission (SEC) spends enough time overseeing this self-regulatory agency.
May 30, 2012
POGO Assails House Financial Services Committee's SRO BillIn a letter to the chairman and ranking minority member of the House Financial Services Committee, the Project On Government Oversight raised serious concerns about H.R. 4624, a bill that would authorize one or more SROs to oversee the investment advisor industry.
May 30, 2012
POGO Assails House Financial Services Committee's SRO BillIn a letter to the chairman and ranking minority member of the House Financial Services Committee, the Project On Government Oversight raised serious concerns about H.R. 4624, a bill that would authorize one or more SROs to oversee the investment advisor industry.