FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BrightScope Defends a Business Model Modeled After Morningstar
By Joyce HansonBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.
June 27, 2013
SEC, FINRA Enforcement: StateTrust Investments Fined for Corporate Bond FraudAmong recent enforcement actions, FINRA ordered StateTrust Investments to pay more than $1.3 million for excessive markups and markdowns in corporate bond transactions.
June 18, 2013
SEC, FINRA, state exam execs lay out prioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 17, 2013
SEC, FINRA, State Exam Execs Lay Out PrioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 14, 2013
Senior credentials in regulatory spotlight… againWhat's behind the acronyms? Regulators want to know.
June 11, 2013
FINRA: 6 Factors to Consider Before Investing in Alternative FundsFINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.
June 04, 2013
FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance ProsCompliance professionals are questioning the merits of new FINRA rules that prevent people associated with mutual funds and hedge funds from serving as public arbitrators.
June 04, 2013
FINRA Whacks Wells Fargo, Merrill Lynch $5M Over Unsuitable Floating-Rate Bank Loan FundsFirms were fined $2.15 million and ordered to pay $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds.