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News Releases

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
March 16, 2017

Binary Options Follow-Up Schemes: Don’t Lose Money Twice
March 15, 2017

FINRA Appoints Nathaniel Stankard as Senior Advisor to the CEO
March 8, 2017

FINRA Proposes Streamlining Competency Exams
March 1, 2017

2017 FINRA Foundation Military Spouse Fellowship Application Now Open
March 1, 2017

FINRA Bars Registered Representative for Unauthorized and Unsuitable Trading in Elderly Customer’s Retirement Account
February 27, 2017

FINRA’s Academic Corporate Bond TRACE Data Product Goes Live
February 22, 2017

FINRA Orders Purshe Kaplan Sterling Investments to Pay $3.4 Million in Restitution to Native American Tribe; Firm Also Fined $750,000 for Failures to Supervise
February 14, 2017

FINRA Hearing Panel Expels Red River Securities, LLC and Bars CEO Brian Keith Hardwick for Fraud; Ordered to Pay $24.6 Million in Restitution to Investors
February 9, 2017

FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and Jennifer Piorko Mitchell to VP, Corporate Governance
February 8, 2017

FINRA Dispute Resolution Issues Status Report on Arbitration Task Force Recommendations
February 2, 2017

FINRA Expels Lawson Financial and Bars CEO Robert Lawson for Fraudulent Municipal Bond Sales
January 30, 2017

Josh Drobnyk Joins FINRA as Senior Vice President, Corporate Communications

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