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FINRA Foundation Announces New Appointments to Board of Directors
Foundation Unveils New Website for Mobile Optimization and Enhanced User ExperienceWASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new...
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FINRA Warns Investors of 'Regulator' Imposter Scams
Con Artists Posing as FINRA CEO ‘Guarantee’ Fraudulent InvestmentsWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of...
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FINRA Foundation Seeks Applicants for Military Spouse Fellowship
Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® CredentialWASHINGTON — Starting today, the FINRA Investor...
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Report from FINRA Board of Governors Meeting – March 2018
WASHINGTON — FINRA’s Board of Governors held its first meeting of 2018 on March 7-8 in New York, where it approved two new rule proposals and FINRA’s 2018 corporate goals, as well as reviewed the...
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Across Generations, Women Trail Men in Financial Knowledge – but the Gap May...
WASHINGTON — Women consistently lag behind men on financial and investor literacy scores across generations of boomers, gen Xers and millennials, according to a multi-year study by the FINRA Investor...
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FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML)...
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FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize...
Sharing Sensitive Information Can Pose Potential Privacy and Security RisksWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider the...
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Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Bari Havlik as Executive Vice President for Member Supervision. In that capacity, Havlik will be...
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FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access...
WASHINGTON – Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access...
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FINRA Names Timothy C. Scheve to Board of Governors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named Timothy C. Scheve, President and Chief Executive Officer of Janney Montgomery Scott LLC, as a new Large Firm Governor on its...
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FINRA Progress Report on FINRA360 Highlights Significant Changes
One-year Report Lays out Changes through the Organizational ReviewWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released a comprehensive progress report summarizing the...
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FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today it has fined Fifth Third Securities, Inc., $4 million and required the firm to pay approximately $2 million in...
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FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3 million for systemic...
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Report from FINRA Board of Governors Meeting – May 2018
Board Approves Rule Proposals and Previews Annual Financial ReportWASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule...
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FINRA Foundation Honors Outstanding Research on Financial Capability in the...
Awards Recognize Research by Undergraduate and Graduate Students in Economics, Psychology, Consumer Sciences and Social WorkWASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today...
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FINRA Foundation Expands Efforts to Increase Financial Capability in...
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) Board of Directors approved initiatives at its June meeting to expand personal finance programs and services for adults and...
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FINRA Announces Initiative to Transform CRD, Other Registration Systems
New Technology Will Lead to Enhanced Efficiencies and Reduced Compliance Costs for Firms
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FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm...
WASHINGTON — FINRA announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami, FL, for continuing to conduct firm business while serving a three-month suspension....
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Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA...
Nagengast Elected to Fill One of Three Large-Firm Seats on FINRA BoardWASHINGTON – FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to...
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FINRA Launches Enhanced Public Records Review
New FINRA360 Initiative Improves Data Quality for Regulators and Investors, and Lowers Firm Compliance Risks and Costs
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