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News Releases

November 14, 2016

Study Finds 1 in 3 Student Loan Holders With Payments Due Are Late With Payments and More Than Half Regret Their Borrowing
November 10, 2016

FINRA Names Stephen M. Cutler to Board of Governors
November 2, 2016

FINRA Fines Eight Firms a Total of $6.2 Million for Supervisory Failures Related to Variable Annuity L-Shares
October 20, 2016

FINRA Files Rule Proposal With SEC to Protect Seniors and Other Vulnerable Adults From Financial Exploitation
October 19, 2016

FINRA Receives SEC Approval to Require Member Firms to Report Treasury Transactions to TRACE
October 18, 2016

FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and Records, and Related Supervisory Violations
October 3, 2016

SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
October 3, 2016

FINRA Publishes ATS Block-Size Trade Data
September 20, 2016

FINRA Hearing Panel Sanctions Avenir Financial Group and Bars Former CEO Michael Todd Clements for Fraud
September 19, 2016

Victims of "Recovery" Scams Find it Difficult to Recoup Losses
September 19, 2016

One Small-Firm Industry Governor Elected to FINRA Board, Two New Governors Appointed
September 14, 2016

FINRA Fines Ameriprise Financial Services, Inc. $850,000 for Failing to Supervise the Transmittal of Funds From Customer Brokerage Accounts
August 11, 2016

Military Spouses Receive Fellowships to Conduct Financial Counseling
August 9, 2016

FINRA Offers Tips for Retail Investors on Order Types
August 8, 2016

FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate Supervision of Internal Communications
August 4, 2016

FINRA Warns Investors About Boiler Room Scams
August 3, 2016

FINRA Fines Barclays Capital Inc. $1.3 Million for Extensive OATS Reporting Violations and Related Supervisory Failures
August 1, 2016

FINRA Files Complaint Charging Broker With Fraudulently and Excessively Trading Accounts of Elderly, Blind Widow
July 19, 2016

FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to Prevent Theft of $1.3 Million From Elderly Customer’s Variable Annuity Account
July 15, 2016

John J. Brennan Elected Chairman of FINRA Board of Governors
July 12, 2016

Americans’ Financial Capability Growing Stronger, but Not for All Groups: FINRA Foundation Study
June 29, 2016

FINRA Fines Deutsche Bank Securities Inc. $6 Million for Submitting Inaccurate and Late Blue Sheet Data
June 23, 2016

FINRA Fines Merrill Lynch $5 Million for Failing to Disclose Material Facts in Sales of Volatility-Linked Structured Notes to Retail Customers
June 14, 2016

Computerworld Names FINRA Among Best Places to Work in IT for 5th Consecutive Year
June 13, 2016

FINRA Announces CEO Transition

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