FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC's Gensler Signals Likely OK to Extend FINRA Remote Inspections
By Melanie WaddellGensler noted that there are "trade-offs" in conducting remote exams.
September 08, 2021
FINRA's New 'Restricted Firm' Plan Is on Its WayRecruiter Jon Henschen discussed what the rule, expected to become effective within seven months, means for BDs and reps.
September 03, 2021
FINRA Bars Ex-Merrill Rep Who Received COVID Disaster LoanThe ex-broker was terminated by Merrill after he refused to produce documents it requested while investigating whether he improperly applied for an EIDL.
September 03, 2021
Advisor to Pay $841K for Charging Hidden Fees to Pro AthletesDouglas E. Elstun charged higher fees than clients had agreed to and invested in high-risk ETFs, the SEC says.
September 02, 2021
FINRA Names Vanguard CEO, Commonwealth Lawyer as New GovernorsVanguard CEO Tim Buckley will fill the FINRA board's investment company affiliate seat.
August 31, 2021
Barred Long Island Broker Arrested Again for Defrauding InvestorsHe was accused of stealing $80,000 from clients who thought they were investing in shares of Airbnb, DoorDash and Petco.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 20, 2021
Regulators Are Embracing the Latest Tech Tools. Are You?Legacy systems just can't keep up with changing compliance demands of compliance.