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News Releases

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
October 7, 2015

FINRA Expels Halcyon Cabot Partners and Bars CEO and CCO for Fraud, Sales Practice Abuses, and Widespread Supervisory and AML Failures
September 30, 2015

Some Demographic Groups Under-Represented Among Investor Households, FINRA Foundation Research Finds
September 30, 2015

Statement Regarding Series 24 Exam
September 29, 2015

FINRA Sanctions UBS Puerto Rico $18.5 Million for Supervisory Failures Regarding Sales of Puerto Rican Closed-End Funds and Related Loans
September 23, 2015

FINRA Issues Investor Alert, Smart Beta – What You Need to Know
September 17, 2015

FINRA Board Approves Rulemaking Item to Protect Seniors and Other Vulnerable Adults from Financial Exploitation
September 15, 2015

FINRA Sanctions 10 Former Global Arena Representatives as a Result of FINRA Crackdown on Broker Migration
September 15, 2015

FINRA Releases Guidance on Liquidity Risk Management Practices
September 2, 2015

FINRA Issues Investor Alert, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams
August 24, 2015

FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies
August 17, 2015

Military Spouses Receive Fellowships to Conduct Financial Counseling
August 12, 2015

FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations
August 6, 2015

FINRA Bars Former CISC Broker for Churning Customer Accounts
August 3, 2015

FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations
July 30, 2015

Firms Elect Three Industry Governors to FINRA Board of Governors, Two New Governors Appointed
July 27, 2015

FINRA Fines Goldman Sachs Execution & Clearing, L.P. $1.8 Million for OATS and Trade Reporting Failures
July 16, 2015

FINRA Solicits Comment on New Academic TRACE Data Set

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