FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Hurricane Sandy Spurs FINRA, SEC Actions
By Marlene Y. SatterFINRA and the SEC have issued warnings and bulletins to help both advisors and the public better cope.
October 19, 2012
SEC, FINRA Enforcement Roundup: Former Billion-Dollar Hedge Fund Advisory Firm, Execs SlappedCitigroup, Merrill Lynch and Natixis were among those sanctioned by the SEC and FINRA this week.
October 12, 2012
Playing With Fire: CCOs and Lawyers Who Got Burned by RegulatorsAfter analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.
October 11, 2012
SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another FineFINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.
October 08, 2012
SEC’s Gallagher Challenges Idea of FINRA as Advisor SROShould FINRA be seeking to branch out into entirely new fields of responsibility, such as regulating investment advisors? a commissioner asks.
September 21, 2012
FINRA Seeks to Require Members to Link to BrokerCheckFINRA is asking the SEC to approve amendments to BrokerCheck, including requiring firms to include a reference and a link to BrokerCheck on their websites.
September 14, 2012
Merrill to Pay Brazilian Heiress $3.6MThe case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.
September 12, 2012
New Hire Roundup: FINRA Names New Corporate Communications HeadThis week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications, and Neuberger & Berman welcomed Brendan Gill.