FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
NASAA to Push SEC User Fees, ‘Stay On Guard’ Against FINRA SRO
By Melanie WaddellChief among state securities regulators legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.
March 04, 2013
FINRA Slaps Ameriprise for Rep’s Wire Transfer FraudFINRA said Ameriprise and its clearing firm missed several red flags, including transfers to accounts in the broker's name.
February 25, 2013
Ketchum’s Big SRO OmissionRichard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.
February 21, 2013
Schwab Dodges FINRA Action on Arbitration WaiversA FINRA disciplinary panel on Thursday upheld Charles Schwabs decision to include a class-action waiver in its customer arbitration agreements.
February 21, 2013
FINRA Goes for Round Two on Membership Rule ChangesFINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA Fines Five ING Affiliates $1.2M for Email ViolationsFINRA announced Tuesday that it had fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.