FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
8 critical questions to prepare for FINRA suitability exams
By Melanie WaddellIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 10, 2013
SEC, FINRA Enforcement: Firm Owner Loots Scholarship Funds, Widow’s AccountFINRA expels firm and its owner for misusing a widow's money and a scholarship fund; SEC charges more inside traders in Heinz case.
October 04, 2013
SEC, FINRA Enforcement: Texas Couple Busted in Green Card Investment ScamAmong other actions, the SEC charged a woman in a bail-bond scheme and froze assets in a bill-collection scam to pay alimony and child support.
September 27, 2013
Rep Wins $4M From Wedbush in FINRA ArbMichael Farah, now an RIA, first brought the case against Wedbush in 2005, saying it had made misrepresentations on CMOs he'd sold.
September 20, 2013
CCOs Under Fire: When Enforcers Get Burned by RegulatorsWhile chief compliance officers are on the frontlines of catching wrongdoing, they can also become targets of regulators for their own misdeeds.
September 19, 2013
FINRA Broker Bonus Plan Would Be ‘Nonevent’ for Many Reps: HenschenThe regulator raised the threshold for the disclosure requirement, which BD recruiter Jon Henschen called a "positive" move.
September 17, 2013
FINRA Warns Investors About ‘Risky’ Private PlacementsThe alert comes two months after the SEC lifted a ban on advertising such investments, as required under the JOBS Act.
September 13, 2013
Scammers Salivate Over Americans’ Investing IgnoranceMany Americans lack an understanding of reasonable investment returns, leaving them vulnerable to fraudulent sales pitches, according to the FINRA Foundation.