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Are Your Investments Ready for the New Year? FINRA Offers 6 Tips for 2016
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) wants investors to start 2016 on the right financial foot and is offering several suggestions to help investors step back and take stock...
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FINRA's 2016 Focus: Supervision, Liquidity and Securities Firms'...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and...
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SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2016 Regional Compliance Outreach...
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FINRA Warns High-Yield CD Offers Can Be Bait for High-Commission Investments
WASHINGTON, D.C. — Advertisements touting higher-than-average CD yields might actually be a lure to trick investors into buying costly investments, the Financial Industry Regulatory Authority said...
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FINRA Bars Two Brokers for Fraudulent Sales of a Hedge Fund
FINRA announced today that it has barred two Buffalo-based brokers – Timothy S. Dembski and Walter F. Grenda – from the securities industry for fraud in connection with the sale of a hedge fund, the...
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FINRA Bars Broker for Market Manipulation
Supervisor Barred from Supervising, Suspended and Fined; Additional Broker Sanctioned
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FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income...
WASHINGTON, D.C. — The Financial Industry Regulatory Authority's Board of Governors today approved a proposal designed to help retail customers understand and compare transaction costs in fixed-income...
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FINRA Foundation Military Spouse Fellowship Application Now Open
Financial-Readiness Program Helps Military Spouses Foster Their Own CareersWASHINGTON — The FINRA Investor Education Foundation's Military Spouse Fellowship Program today opened the application process...
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FINRA Evaluates Membership Application Rules
Finds Rules Have Been Effective, and Begins Process of Updating
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FINRA Reports on Effective Practices for Digital Investment Advice
WASHINGTON — Financial services firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of...
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FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) and The Nasdaq Stock Market LLC (Nasdaq) announced today that they jointly censured and fined Wedbush Securities Inc. $675,000 for...
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Power of Attorney and Your Investments: 10 Tips from FINRA
WASHINGTON — Granting power of attorney (POA) for your investments to someone you trust can be a useful way to manage your finances in the event you should become unable to handle them yourself. In a...
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How Investors Can Avoid Getting Fooled
WASHINGTON — On the eve of April Fools' Day – which also happens to be the first day of Financial Literacy Month - the Financial Industry Regulatory Authority (FINRA) offers five tips to help investors...
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FINRA Offers What You Need to Know About Required Minimum Distributions in...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert with answers to 10 commonly asked questions about required minimum distributions (RMDs) – the smallest...
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FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a regulatory notice providing guidance on member firms' responsibilities concerning the sale of pension income stream...
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FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million...
Through FINRA Oversight, Seniors Have Obtained Voluntary Reimbursements From Firms
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FINRA Decision Bars James Van Doren for Unethical Conduct; Registered...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today a decision barring James Van Doren from the securities industry for unethical conduct involving money laundering and a...
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New Data on OTC Equity Trading Now Available, FINRA Announces
Additional Transparency Covers About 20% of All Trading in National Market System EquitiesWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that expanded data on...
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FINRA Investor Education Foundation and Filene Research Institute Announce...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation, the Filene Research Institute, and six local credit unions have launched a two-year research project to...
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FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering
New Equities Supervision Reports Are Designed to Help Firms Spot and Halt Potential ManipulationWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today made available to member firms its...
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