What's New

5.9.08 Regulatory Notice SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008

5.07.08 News Release GunnAllen Financial Pays $750,000 to Settle Charges Involving Former Head Trader's Trade Allocation Scheme, AML & Supervisory Deficiencies, Additional Charges

5.05.08 Investor News Auction rate securities, catastrophe bonds, mortgage-backed securities and margin accounts

5.05.08 New Podcast: April 2008 Monthly Recap Revisit the latest FINRA Notices, compliance resources and news from April 2008

4.30.08 Regulatory Notice FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities

4.30.08 News Release FINRA's National Adjudicatory Council Affirms $5 Million Fine Against American Funds Distributors for Violating FINRA's Anti-Reciprocal Rule

Archive of Recent Announcements

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Investor Complaint Center If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with FINRA.

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