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News Releases

February 2, 2016

SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
January 5, 2016

FINRA's 2016 Focus: Supervision, Liquidity and Securities Firms' Culture
December 31, 2015

Are Your Investments Ready for the New Year? FINRA Offers 6 Tips for 2016
December 30, 2015

FINRA Releases Report on its Securities Helpline for Seniors
December 29, 2015

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures
December 23, 2015

FINRA Fines Macquarie Capital (USA) Inc. $2.95 Million for Submitting Inaccurate Blue Sheet Data
December 21, 2015

FINRA Sanctions Cantor Fitzgerald & Co. $7.3 Million for Selling Billions of Unregistered Microcap Shares, and for Related Supervisory and AML Violations
December 21, 2015

FINRA, SEC Issue Investor Alert: 10 Questions Investors Should Ask About Securities-Backed Lines of Credit
December 18, 2015

FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures
December 17, 2015

FINRA Announces New Public Board Member
December 16, 2015

FINRA Arbitration Task Force Issues Final Report
December 10, 2015

Corporate Bond Liquidity Healthy by Most Measures: FINRA Research
December 1, 2015

SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors
November 20, 2015

FINRA Files Complaint Charging Cantone Research Inc., President Anthony Cantone with Fraud
November 19, 2015

FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules
November 16, 2015

FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention
November 5, 2015

FINRA Issues Investor Alert—Tools of the Fake IRS Scam: Phones and Emotions
October 30, 2015

FINRA Chairman and CEO Rick Ketchum to Retire in 2016
October 27, 2015

FINRA Orders an Additional Five Firms to Pay $18 Million in Restitution to Charities and Retirement Accounts Overcharged for Mutual Funds
October 26, 2015

FINRA Issues Investor Alert—Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent
October 20, 2015

FINRA Sanctions 12 Firms a Total of $6.7 Million for Failing to Apply Sales Charge Discounts to Customers' Purchases of UITs
October 19, 2015

FINRA Issues Investor Alert—Sorry, This One's Not a Winner: Don't Get Fooled by a Lottery Scam
October 15, 2015

FINRA Solicits Comment on Proposed Rules Addressing Financial Exploitation of Seniors
October 13, 2015

FINRA Sanctions Santander Securities LLC $6.4 Million for Supervisory Failures Related to Sales of Puerto Rican Bonds
October 8, 2015

Statement Regarding New Rule to Enhance OTC Equities Transparency

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