FINRA - Press Room

About FINRA | Press Room | Registration & Qualifications | Regulatory Services | Resources | Career Opportunities | Site Map | Contact Us

Press Room

News Releases

Speeches & Testimony

Statistics

Home > Press Room
Printer-Friendly Press Room

View our recently posted news releases below along with links to other news related information.

View the News Releases section to see archived releases.

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 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
4/24/08	FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
4/22/08	FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams

Other Information

Investor Alerts

Disciplinary Actions

Rule Filings

BrokerCheck

Corporate Bond Activity

FINRA-Bloomberg Corporate Bond Indicies