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News Releases

November 15, 2017

FINRA Announces Enhancements to Advisory Committees to Increase Transparency, Improve Effectiveness
November 9, 2017

FINRA Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer
November 2, 2017

FINRA Foundation and Filene Research Institute Provide Free Resources to Help Credit Unions and Employers Launch Small-Dollar Loan Program to Support Employee Financial Wellness
October 26, 2017

FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
October 18, 2017

FINRA Requests Comment on Arbitration Proposals
October 16, 2017

FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution and Reminds Firms of Sales Practice Obligations for Volatility-Linked Products
October 5, 2017

FINRA Receives SEC Approval to Streamline Competency Exams
October 2, 2017

FINRA Promotes World Investor Week 2017
September 25, 2017

FINRA Sanctions Morgan Stanley $13 Million in Fines and Restitution for Failing to Supervise Sales of UITs
September 19, 2017

FINRA Dispute Resolution to Hold Arbitrator and Mediator Recruitment Event at Congressional Black Caucus Conference September 21 – 23
September 15, 2017

First-Ever National Study Finds Veterans Faring Slightly Better Financially Than Civilians
September 13, 2017

FINRA Foundation Awards Inaugural Ketchum Prize to Dr. J. Michael Collins
September 12, 2017

FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations
September 11, 2017

SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors
September 7, 2017

FINRA CEO Robert Cook Testifies Before House Financial Services Subcommittee on Capital Markets, Securities, and Investment
August 31, 2017

Initial Coin Offerings: Know the risks before you buy
August 31, 2017

FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Harvey
August 22, 2017

FINRA Announces Governor Elections and Appointments
August 14, 2017

FINRA Expels Hallmark Investments, Inc. and Bars CEO for Fraud
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

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