FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRA
By Jeff BermanRBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.
June 06, 2023
Ex-Edward Jones Rep Fined, Suspended for Texting Client DocsThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 01, 2023
House Passes Bill to Require Accredited Investor ExamUnder the bill, the SEC would devise the exam and FINRA would administer it.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.
May 23, 2023
FINRA Fines 5 Firms for Reg BI, Form CRS ViolationsSome firms failed to file a timely Form CRS while others failed to acknowledge prior disciplinary history.
May 22, 2023
Wells Fargo Rep Made His Friend a Client's Beneficiary: FINRAThe regulator has suspended the broker for 45 days and fined him $5,000.
May 19, 2023
More Sweeps, Reg BI Cases on the WayMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 17, 2023
FINRA Plans More Remote Work RulesAlso under consideration is an update to FINRA's outside business activity rule, according to CEO Robert Cook.