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FINRA Sanctions AXA Advisors, LLC Approximately $772,000 for...
Restitution Ordered; Firm Ordered to Send Corrective Disclosures to Affected Plan Participants
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FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings...
Fines to be Waived for Firms Notifying FINRA by April 1; Initiative Stresses Restitution and Rapid Remediation
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Report from FINRA Board of Governors Meeting – May 2019
WASHINGTON – FINRA’s Board of Governors met on May 6 and 7 in New York City. During the meeting, the Board received updates on FINRA’s regulatory operations, including a status report on FINRA’s 529...
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FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA,...
Digital Experience Transformation Invites Firms to “Help Us Design the Future” of Compliance Reporting and Management
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NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater...
Washington D.C., May 23, 2019 – In recognition of the one-year anniversary of the passage of The Senior Safe Act, the North American Securities Administrators Association (NASAA), the U.S. Securities...
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FINRA Foundation Honors Top Student Researchers for Advancing Understanding...
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today announced the recipients of its higher-education awards created to recognize outstanding analyses by...
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Financial Prosperity Eludes Many Americans Despite Growing Economy and...
National Comprehensive Survey of Financial Capability Finds Younger Americans, Those With Lower Incomes, African-Americans and Those Without a College Degree Facing Toughest Financial Struggles
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FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in...
Firm Sanctioned for Failing to Reasonably Supervise Recommended Securities Transactions and Use of Consolidated ReportsWASHINGTON—FINRA announced today that it has sanctioned Summit Brokerage Services,...
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Joint Statement on Broker-Dealer Custody of Digital Asset Securities
WASHINGTON – Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential...
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FINRA Announces Final Results of Mutual Fund Waiver Initiative
Total of 56 Settlements Reached with Member Firms Resulting in $89 Million in Restitution to Eligible Charitable and Retirement Accounts
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FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to...
WASHINGTON—FINRA today announced it has fined Citigroup Global Markets Inc. (CGMI) $1.25 million for failing to conduct timely or adequate background checks on approximately 10,400 non-registered...
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Article 9
WASHINGTON – FINRA’s Board of Governors met on May 6 and 7 in New York City. During the meeting, the Board received updates on FINRA’s regulatory operations, including a status report on FINRA’s 529...
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Article 8
Washington D.C., May 23, 2019 – In recognition of the one-year anniversary of the passage of The Senior Safe Act, the North American Securities Administrators Association (NASAA), the U.S. Securities...
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Article 7
National Comprehensive Survey of Financial Capability Finds Younger Americans, Those With Lower Incomes, African-Americans and Those Without a College Degree Facing Toughest Financial...
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Article 6
Firm Sanctioned for Failing to Reasonably Supervise Recommended Securities Transactions and Use of Consolidated ReportsWASHINGTON—FINRA announced today that it has sanctioned Summit Brokerage Services,...
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Article 5
WASHINGTON – Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential...
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Article 4
WASHINGTON—FINRA today announced that it has released new guidance regarding credit for extraordinary cooperation in investigations. Regulatory Notice 19-23 supplements prior FINRA guidance, providing...
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Article 3
Total of 56 Settlements Reached with Member Firms Resulting in $89 Million in Restitution to Eligible Charitable and Retirement AccountsWASHINGTON—FINRA announced that it has reached settlements with...
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Article 2
WASHINGTON—FINRA today announced it has fined Citigroup Global Markets Inc. (CGMI) $1.25 million for failing to conduct timely or adequate background checks on approximately 10,400 non-registered...
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