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FINRA and Exchanges Charge Lek Securities and CEO Samuel F. Lek with Aiding...
Charges Also Include Market Access Rule, Supervisory and Other Violations
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FINRA Receives SEC Approval on Rule Proposal Addressing Financial...
WASHINGTON — The Securities and Exchange Commission has approved FINRA’s rule proposal addressing financial exploitation of seniors. FINRA today issued Regulatory Notice 17-11 announcing a February 5,...
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Survey Shows High Levels of Financial Distress and High Use of Alternative...
FINRA Foundation and First Nations Development Institute Publish In-Depth Analysis of Financial Capability of Native Americans
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National Adjudicatory Council Introduces New Sanction Guidelines
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration...
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FINRA Requests Comment on Rules Impacting Capital Formation
Additional Proposals Include Updates to Rules on Underwriting Arrangements and Desk Commentary
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FINRA Senior Helpline Marks Second Anniversary With $4.3 Million in Voluntary...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that FINRA’s Securities Helpline for Seniors® marked its second anniversary with $4.3 million in voluntary...
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FINRA Statement on Confirmation of Walter J. "Jay" Clayton III as...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued the following statement on the confirmation of Walter J. “Jay” Clayton III as Chairman of the Securities and Exchange...
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SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
WASHINGTON — Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority...
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FINRA Board Approves Proposals to Strengthen Controls on High-Risk Brokers
Next Step in an Ongoing Program to Protect InvestorsWASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to...
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FINRA Reviews Rules on Outside Business Activities and Private Securities...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing outside business activities and private securities transactions as part of a new...
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Firms Elect Large-Firm Governor to FINRA Board of Governors
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its Special Meeting on May 19, 2017, to elect one Large-Firm Governor to the FINRA...
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FINRA Offers Continuing Education Courses to CFP Professionals
Nearly 60 E-Learning Classes Now Eligible for CE Credits Following CFP® Board ReviewWASHINGTON — The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Planner...
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FINRA Bars Former Morgan Stanley Registered Representative for Using Nominee...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing...
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FINRA Hearing Panel Bars Registered Representative for Failing to Disclose...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in...
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FINRA Issues Research on Securitized-Asset Liquidity
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Office of the Chief Economist today posted a new Research Note on liquidity in structured products, complementing an earlier report on...
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FINRA Launches Innovation Outreach Initiative
Blockchain Symposium to Take Place in NYC on July 13WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to foster...
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William H. Heyman Elected Chairman of FINRA Board of Governors
Heyman to succeed Jack Brennan effective July 18WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vice...
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Fake Online Job Interviews Phishing for Your Personal Information
Terminate Before It’s Too Late
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FINRA Successfully Launches Reporting of Treasury Transactions, Providing...
WASHINGTON — A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to...
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FINRA Posts Guidance on Enhanced Price Disclosure to Retail Investors for...
WASHINGTON — The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in...
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