10/1/08		FINRA Alerts Investors of U.S. Treasury Program to Guarantee Money Market Funds that "Break the Buck"
9/26/08		FINRA Dispute Resolution Proposes Raising Threshold for Three-Arbitrator Cases
9/18/08		FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
9/15/08		FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
9/15/08		Statement of the Financial Industry Regulatory Authority Regarding Lehman Brothers, Inc. and Neuberger Berman, LLC
9/11/08		FINRA Bars Two Registered Representatives for Insider Trading
9/9/08		Questions About Online Brokerage? Reverse Mortgages? 401(k) Investing? FINRA Launches New Podcast Series to Give Investors an Earful of Advice
9/4/08		FINRA Sanctions Three Brokers for Sales of CMOs to Retail Investors
9/3/08		FINRA Expels Barron Moore and Takes Disciplinary Actions Against Seven Individuals for Illegal Sales of Unregistered Penny Stocks
8/13/08		FINRA and NYSE Regulation Announce Agreement With Ten U.S. Exchanges to Strengthen Surveillance, Investigation and Enforcement to Prevent Insider Trading
8/7/08		FINRA Creates Process for Arbitrations Involving Auction Rate Securities
7/24/08		FINRA to Launch Pilot Program to Evaluate All-Public Arbitration Panels
7/1/08		FINRA, International Foundation Partner on Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
7/1/08		FINRA to Conduct Special Election to Fill Vacant Board Seat
6/26/08		FINRA Warns Investors About Compromising Important Assets in Uncertain Economic Times
6/4/08		James P. Donovan Named FINRA Senior Executive Vice President
5/29/08		FINRA Warns Investors: Don't "Swipe" Out Your Retirement Savings With 401(k) Debit Cards
5/15/08		FINRA Warns International Investors of Advance-Fee Fraudsters Misusing FINRA's Name and Impersonating FINRA Employees
5/15/08		FINRA Fines Three Firms a Total of $1.6 Million for OATS Reporting and Supervision Violations
5/14/08		FINRA Seeks Comment on Proposals for Consolidated Rules Governing Financial Responsibility, Supervision, Books & Records, Investor Education
5/12/08		FINRA Warns Job Seekers About Online Classifieds Scams Aimed at Identity Theft, Financial Fraud
5/8/08		GunnAllen Financial Pays $750,000 to Settle Charges Involving Former Head Trader's Trade Allocation Scheme, AML and Supervisory Deficiencies, Additional Charges
4/30/08		FINRA's National Adjudicatory Council Affirms $5 Million Fine Against American Funds Distributors for Violating FINRA's Anti-Reciprocal Rule
4/25/08		FINRA Hearing Panel Dismisses 2004 Sales Practices Complaint Against H&R Block Financial Advisors
4/24/08		FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
4/24/08		FINRA Proposes Rule Change to Require Reporting of Customer Allegations of Sales Practice Violations Against Brokers in All Arbitrations, Civil Lawsuits - Even When Broker Is Not an Official Party to the Dispute
4/22/08		FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
4/9/08		FINRA Issues Guidance on Best Practices for Detecting and Preventing "Rogue" Trading
3/31/08		FINRA Issues Guidance to Investors Caught in ARS Auction Failures
3/31/08		Statement of FINRA CEO Mary L. Schapiro Regarding Treasury Secretary's Blueprint on Revamping Financial Services Regulation
3/31/08		Self-Regulators Warn Against Spreading False Rumors and Other Abusive Market Activity
3/24/08		FINRA Hearing Panel Fines, Suspends Investprivate's Chairman and CEO for Failure to Disclose Tax Liens, Customer Complaints
3/14/08		Statement of the Financial Industry Regulatory Authority Regarding Bear Stearns' Broker Dealers
3/13/08		FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages
3/7/08		SEC, FINRA Announce 14 Regional CCOutreach BD Seminars
3/6/08		FINRA Fines, Suspends 16 State Farm Representatives for Test-Taking Irregularities in the Firm's Continuing Education Program
2/28/08		FINRA Settles with Five Firms for Supervisory Failures, Improper Mutual Fund Sales to More than 5,300 Households; Tens of Millions of Dollars to be Returned to Customers
2/21/08		Oppenheimer & Co. to Pay $4.5 Million to Settle FINRA Market Timing Charges
2/21/08		FINRA Investor Education Foundation Grants Exceed $14M
2/14/08		FINRA Charges Broker for Misappropriating Almost $400,000 from 97-Year-Old Widow and Her Charitable Foundation
2/8/08		SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
1/29/08		FINRA Fines Banc One for Unsuitable Variable Annuity Sales, Inadequate Supervision of Fixed-to-Variable Annuity Exchanges
1/9/08		SMH Capital Fined $450,000 for Procedural Failures Regarding Soft Dollar Payments, Distributing Improper Hedge Fund Sales Materials
1/8/08		FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
1/7/08		FINRA Investor Education Foundation and the American Library Association Announce $853,000 in Grants to Libraries Nationwide