FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
The Five Top FINRA Enforcement Actions in 2010
By Kate McBrideAn analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.
February 03, 2011
As Super Bowl Nears, FINRA, NFL Tackle Issue of Financial Planning for PlayersWhile many players for the Pittsburgh Steelers and Green Bay Packers will be at the pinnacle of their careers this Super Bowl Sunday, they will all eventually grow old and retire, which is why FINRA and the NFL have joined in a financial planning program.
February 01, 2011
FSI Endorses FINRA as SRO for Investment AdvisorsThe association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.
February 01, 2011
SEC Agrees to FINRA Rule Change to Allow All-Public Arbitration PanelThe SEC approved Tuesday FINRA's proposed rule change to give investors in all-FINRA arbitrations access to an all-public panel.
January 17, 2011
N.Y. Money Manager Charged in Death Threats of U.S. RegulatorsOn Friday a New York money manager, Vincent McCrudden, was charged with threatening 47 U.S. officials. The list included Mary Schapiro, chairman of the SEC, and Gary Gensler, chairman of the Commodity Futures Trading Commission.
January 12, 2011
FINRA Private Placement Proposal Exempts Variable ProductsThe Financial Industry Regulatory Authority plans to keep an exemption for variable life and annuity products in a private placements rule it is updating.
January 11, 2011
FINRA Private Placement Proposal Exempts Variable ProductsThe Financial Industry Regulatory Authority plans to keep an exemption for variable life and annuity products in a private placements rule it is updating.
January 11, 2011
History Lesson: How FINRA Would Oversee RIAsWhat the then-NASD's regulation of RIAs in the past suggest about how FINRA would behave as the SRO for advisors.