FINRA

Newsroom

FINRA Fines Citigroup Global Markets $3.5 Million for Providing Inaccurate Performance Data Related to Subprime Securitizations—5/22/12
Remarks by Chairman and CEO Rick Ketchum at the FINRA Annual Conference—5/21/12
FINRA Enhances BrokerCheck Capabilities—5/16/12
FINRA Warns Investors of Nutraceutical Stock Scams—5/16/12
FINRA Names Robert L. D. Colby Chief Legal Officer—5/7/12
FINRA Sanctions Four Firms $9.1 Million for Sales of Leveraged and Inverse Exchange-Traded Funds—5/1/12
FINRA Statement on Introduction of Investment Adviser Oversight Act of 2012—4/25/12
FINRA Hearing Officer Expels Pinnacle Partners Financial Corp. and Bars President for Fraud—4/25/12
Testimony of Chairman and CEO Richard G. Ketchum Before the Committee on Banking, Housing, and Urban Affairs—4/24/12