Skip to main content

You are here

News Releases

August 9, 2017

Military Spouses Receive Fellowships to Conduct Financial Counseling
August 1, 2017

SIPC and FINRA Streamline Reporting Process for Broker-Dealers
July 27, 2017

FINRA, Bats, NASDAQ, and NYSE Fine Firms for Market Access Rule Violations
July 26, 2017

FINRA Promotes Susan Schroeder to Head of Enforcement; Announces Plan to Consolidate Existing Enforcement Functions into a Single Department
July 12, 2017

FINRA Posts Guidance on Enhanced Price Disclosure to Retail Investors for Corporate and Agency Bonds
July 11, 2017

FINRA Successfully Launches Reporting of Treasury Transactions, Providing Regulators with Enhanced Insight into Treasury Market
July 6, 2017

Fake Online Job Interviews Phishing for Your Personal Information
June 29, 2017

William H. Heyman Elected Chairman of FINRA Board of Governors
June 13, 2017

FINRA Launches Innovation Outreach Initiative
June 8, 2017

FINRA Issues Research on Securitized-Asset Liquidity
June 7, 2017

FINRA Hearing Panel Bars Registered Representative for Failing to Disclose Private Securities Transactions Totaling $100 Million in EB-5 Investments
June 1, 2017

FINRA Bars Former Morgan Stanley Registered Representative for Using Nominee Accounts to Conceal $190 Million in Venezuelan Bond Trades
May 31, 2017

FINRA Offers Continuing Education Courses to CFP Professionals
May 23, 2017

Firms Elect Large-Firm Governor to FINRA Board of Governors
May 15, 2017

FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions
May 11, 2017

FINRA Board Approves Proposals to Strengthen Controls on High-Risk Brokers
May 3, 2017

SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
May 2, 2017

FINRA Statement on Confirmation of Walter J. "Jay" Clayton III as SEC Chairman
April 20, 2017

FINRA Senior Helpline Marks Second Anniversary With $4.3 Million in Voluntary Reimbursements to Callers
April 12, 2017

FINRA Requests Comment on Rules Impacting Capital Formation
April 10, 2017

National Adjudicatory Council Introduces New Sanction Guidelines
April 6, 2017

Survey Shows High Levels of Financial Distress and High Use of Alternative Financial Services Among American Indians and Alaska Natives
March 30, 2017

FINRA Receives SEC Approval on Rule Proposal Addressing Financial Exploitation of Seniors
March 27, 2017

FINRA and Exchanges Charge Lek Securities and CEO Samuel F. Lek with Aiding and Abetting Securities Fraud
March 21, 2017

FINRA Seeks Comment on Its Engagement Programs

Pages