FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Penny Pennington Elected to FINRA Board of Governors
By John ManganaroFrom the enforcement of Reg BI to the implementation of new CE requirements, it's a busy time for FINRA.
October 24, 2022
Ex-MassMutual Broker Pleads Guilty to Defrauding ClientsThe barred broker used a client's funds to pay down his own debt and for personal travel.
October 24, 2022
FINRA Developing Machine-Readable RulebookFINRA is seeking comment on the rulebook initiative, which offers quick access to 40 commonly searched rules.
October 21, 2022
5 Top Lessons From the WhatsApp Crackdown: Law FirmThe SEC and FINRA are still watching, so firms should revisit their policies now, says attorney Issa Hanna.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 10, 2022
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities BusinessRonald T. Molo was previously indicted for defrauding three investors out of about $800,000.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.