FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Federal Regulation

FINRA: Save Those Tweets, Texts, Calls, Etc.

By Allison Bell
FINRA Levies $5 Million Fine Against SunTrust Affiliates

July 26, 2011

FINRA Levies $5 Million Fine Against SunTrust Affiliates
FINRA to Investors: Stay Away From Risky Junk Funds

July 25, 2011

FINRA to Investors: Stay Away From Risky Junk Funds
FINRA Charged With Poor Transparency, Needs Closer Scrutiny—Compliance Watch

July 22, 2011

FINRA Charged With Poor Transparency, Needs Closer Scrutiny—Compliance Watch
FINRA’s Suspension of Advisor for ‘Unbalanced’ Tweets Offers Warning

July 18, 2011

FINRA’s Suspension of Advisor for ‘Unbalanced’ Tweets Offers Warning
Confusion About New FINRA Rule Requiring Back-Office Staff Exams—Compliance Watch

July 15, 2011

Confusion About New FINRA Rule Requiring Back-Office Staff Exams—Compliance Watch
FINRA Fines Merrill, Credit Suisse

July 01, 2011

FINRA Fines Merrill, Credit Suisse
If You Want Something Done Right

July 01, 2011

If You Want Something Done Right