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News Releases

March 31, 2016

How Investors Can Avoid Getting Fooled
March 23, 2016

Power of Attorney and Your Investments: 10 Tips from FINRA
March 21, 2016

FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds
March 15, 2016

FINRA Reports on Effective Practices for Digital Investment Advice
March 11, 2016

FINRA Evaluates Membership Application Rules
March 1, 2016

FINRA Foundation Military Spouse Fellowship Application Now Open
February 26, 2016

FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities
February 19, 2016

FINRA Bars Broker for Market Manipulation
February 11, 2016

FINRA Bars Two Brokers for Fraudulent Sales of a Hedge Fund
February 9, 2016

FINRA Warns High-Yield CD Offers Can Be Bait for High-Commission Investments
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

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