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27 Mar 2019, 1:37 pm
FINRA maybe in the process of allowing its examiners to punish member firms for rules’ infractions. [read post]
7 Feb 2013, 7:00 am
FINRA has not received responses, but it expects these firms to respond shortly. [read post]
28 Oct 2020, 6:00 am
FINRA Verifies Broker Compliance But Does Not Approve or Recommend Securities FINRA serves a very important, but also clearly limited, role in protecting investors. [read post]
28 Apr 2020, 9:42 am
Arbitration at FINRA has long been known as a quicker, more efficient alternative to court litigation of disputes eligible for submission to FINRA’s Dispute Resolution forum. [read post]
1 Sep 2021, 11:17 am
., a registered representative (RR) – regulated by the Financial Industry Regulatory Authority (FINRA) is not easy. [read post]
23 Jul 2019, 9:16 am
Continuing a cryptocurrency oversight program begun in 2018, on July 18, 2019, FINRA issued Regulatory Notice 19-24. [read post]
30 Oct 2017, 7:48 am
Woehrman entered into an acceptance waiver and consent agreement with FINRA, in which he neither admitted nor denied the charges, but agreed to a fine of $12,500. [read post]
27 May 2008, 1:25 pm
FINRA's efforts here are good, I think. [read post]
1 Oct 2010, 7:23 am
The FINRA dispute resolution statistics can be found here.The FINRA news release announcing the rule change can be found here. [read post]
19 May 2023, 2:25 pm
On May 18, 2023, during an “Ask FINRA Senior Staff” panel held as part of FINRA’s 2023 Annual Conference, Christopher Kelly, Acting Head of FINRA Enforcement, provided a first look into how FINRA Enforcement intends to address CAT reporting violations as the industry nears the three-year anniversary of the first Phase of CAT go-live and ahead of any published enforcement activity to date. [read post]
26 Jul 2016, 5:43 am
Professor Jill Gross' column on FINRA's position regarding broker-dealers' use of forum selection clauses to avoid FINRA arbitrationLast Friday, FINRA issued Regulatory Notice 16-25 reminding member firms that, under FINRA Rules 12200 and 13200, they have a regulatory duty to arbitrate at the request of a customer (account-related disputes) or an associated person (employment disputes). [read post]
18 Mar 2010, 7:42 am
FINRA also noted the increased regulatory reviews of broker-dealers involved in private placements. [read post]
20 Apr 2010, 3:10 pm
FINRA announced the publication of guidance for FINRA-registered firms about their obligations regarding customer suitability, disclosures and other requirements for selling private placements to customers. [read post]
5 Feb 2010, 12:27 pm
InvNews, Finra executives... [read post]
16 May 2011, 11:47 am
FINRA recently filed a proposed rule change with the SEC FINRA to adopt NASD Rule 2830 (Investment Company Securities) as FINRA Rule 2341 (Investment Company Securities) with significant changes. [read post]
13 Mar 2012, 1:49 pm
The Survey reports that in 2011 FINRA reported a significant increase... [read post]
16 May 2011, 11:34 am
The FINRA announced the launch of the FINRA Disciplinary Actions Online database, a web-based searchable system that makes its disciplinary actions accessible via its website. [read post]
26 Feb 2013, 3:18 pm
FINRA Enforcement announced today it... [read post]
17 Nov 2022, 11:55 am
FINRA's... [read post]
17 Dec 2010, 12:16 pm
FINRA released its FINRA 2010 Year in Review and gave itself many pats on the back for its performance. [read post]
