FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Revives Broker Bonus Disclosure Plan
By Melanie WaddellA revised plan to require that brokers recruitment compensation be disclosed when they switch firms will be considered at FINRA's Sept. 19 board meeting.
August 28, 2013
The Odd, Mixed Messages From FINRA on Risk Tolerance and SuitabilityFINRAs new, and unusual, definition of risk tolerance and the inconsistency between that definition and the views expressed on the SROs website are not helpful to advisors and investors.
August 22, 2013
FINRA Fines Morgan Stanley Over Bond InfractionsFirms must ensure that customers who buy and sell securities ... receive execution prices that are consistent with prices available in the marketplace," FINRA says.
August 20, 2013
Marijuana Stock Scams on the RiseNow that medical marijuana is legal in 19 states, FINRA warns investors that scammers are capitalizing on its popularity.
August 15, 2013
SEC, FINRA Enforcement: 2 JPMorgan Traders Charged With Fraud Over London Whale LossesThe SEC charged the traders for lying about massive derivatives losses and also charged several microcap companies and stock promoters in penny-stock schemes.
August 15, 2013
SEC approves more BrokerCheck transparencyThe public will get even more access to broker disciplinary information now that the SEC has approved amendments to FINRAs Rule 8312.
August 12, 2013
FINRA finds violations in broker's YouTube videoFINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
August 06, 2013
FINRA Alert: Brokerage Imposters Do It Old-Fashioned WayStep aside, Internet schemers, the newest imposters on the block are phony phone callers from fake brokerage firms.