FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA bars two brokers for theft from an elder
By Maria WoodThe agency says the brokers stole $300,000 from a senior with diminished mental capacity."
November 06, 2013
FINRA Fines TD Ameritrade Clearing $1.2M for Options Trading ViolationsTimely and complete information "about large options positions is necessary to conduct market surveillance and to protect the integrity of the marketplace," FINRA says.
October 31, 2013
SEC, DOL, FINRA Enforcement: SAC Capital Could Plead GuiltyAmong other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.
October 28, 2013
‘Alarming’ Number of Broker Arbitration Records Wiped Clean: StudyA study of more than 1,600 arbitration cases over the past five years shows an alarmingly high rate of brokers who were able to get their arbitration histories wiped clean, according to a report released in mid-October by the Public Investors Arbitration Bar Association (PIABA).
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 18, 2013
FINRA Warns BDs to Better Manage Conflicts of InterestFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 16, 2013
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: StudyAn author of the study by PIABA, a legal group, says that this a "major investor protection problem."