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News Releases

April 8, 2014

FINRA Launches Retrospective Rule Review
March 24, 2014

FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments
March 18, 2014

FINRA and BATS Order Citigroup Global Markets Inc. to Pay $1.1 Million for Illegal Short Selling In Advance of Five Public Offerings and for Related Supervisory Violations
March 12, 2014

FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations
March 11, 2014

FINRA Issues New Investor Alert, Bitcoin: More than a Bit Risky
March 10, 2014

FINRA Foundation Study Finds Millennials Struggle Financially
March 6, 2014

FINRA’s Statement on PIABA’s Public Disclosure Study
March 3, 2014

FINRA Foundation Military Spouse Fellowship Application Period Open From March 3 – April 18
February 24, 2014

FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs
February 13, 2014

FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement
February 6, 2014

BATS Global Markets, FINRA Enter Regulatory Service Agreement
February 5, 2014

FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1.2 Million in Grants to Support Grassroots Financial Education Projects
February 5, 2014

FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures
February 4, 2014

FINRA Foundation Issues Five Dos and Don’ts That Can Help You Achieve Greater Financial Security
January 28, 2014

FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders
January 23, 2014

FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision
January 16, 2014

FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme
January 13, 2014

FINRA Investor Education Foundation and the American Library Association Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy
January 9, 2014

FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies
January 2, 2014

FINRA Releases 2014 Regulatory and Exam Priorities
December 26, 2013

FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures
December 23, 2013

FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal
December 19, 2013

FINRA Fines Deutsche Bank Securities, Inc. $6.5 Million for Serious Financial and Operational Deficiencies
December 17, 2013

Two New Public Governors Appointed to FINRA Board of Governors, FINRA Creates New Investor Committee
December 16, 2013

FINRA Fines COR Clearing LLC $1 Million for Extensive Regulatory Failures

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