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News Releases

December 3, 2013

FINRA Foundation Releases Military Financial Capability Survey
November 14, 2013

FINRA Names Mike Rufino Head of Member Regulation – Sales Practice, and Bill Wollman Head of Member Regulation – Risk Oversight and Operational Regulation (ROOR)
November 12, 2013

FINRA Releases Enhanced Version of BrokerCheck
November 12, 2013

Self-Regulatory Organizations Response to SEC for Strengthening Critical Market Infrastructure
November 6, 2013

FINRA Fines TD Ameritrade Clearing and SG Americas Securities a Total of $1.8 Million for Required Options Positions Reporting and Supervisory Violations
October 28, 2013

FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where is the Money Coming From?
October 16, 2013

FINRA's Statement on PIABA's Expungement Study
October 14, 2013

Statement from Chairman and CEO Richard G. Ketchum on FINRA's Report on Conflicts of Interest
October 11, 2013

FINRA Issues New Investor Alert: Stock Up on Information Before Buying Stock
October 9, 2013

National Center for Victims of Crime, FINRA Foundation Release Taking Action: An Advocate's Guide to Assisting Victims of Financial Fraud
September 30, 2013

FINRA Seeks Cease and Desist Order Against John Carris Investments and CEO George Carris for Fraud
September 19, 2013

Board of Governors Authorizes FINRA to File Recruitment Compensation Proposal with the SEC
September 19, 2013

FINRA Issues Public Statement, Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking
September 17, 2013

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio
September 12, 2013

FINRA Foundation Survey Reveals Over 80 Percent of Respondents Are Exposed to Financial Scams
August 22, 2013

FINRA Fines Morgan Stanley $1 Million and Orders Restitution of $188,000 for Best Execution and Fair Pricing Violations in Customer Bond Transactions
August 20, 2013

FINRA Warns Investors of Marijuana Stock Scams
August 16, 2013

Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning
August 14, 2013

Military Spouses Receive Fellowships to Conduct Financial Counseling
August 6, 2013

Firms Elect Two Industry Governors to FINRA Board of Governors, New Public Governor Appointed
August 6, 2013

FINRA Issues New Investor Alert, Cold Calls From Brokerage Firm Imposters—Beware of Old-Fashioned Phishing
August 5, 2013

FINRA Fines Oppenheimer & Co., Inc. $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations
July 22, 2013

FINRA Significantly Increases Transparency in the Mortgage-Backed Securities Market
July 11, 2013

FINRA Joins Exchanges in Fining Newedge USA, LLC $9.5 Million for Supervisory, Regulation SHO, and Books and Records Violations
July 1, 2013

FINRA Selects Morningstar for Re-Launch of Market Data Center

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