Skip to main content

You are here

News Releases

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
July 10, 2015

FINRA Issues Investor Alert, Bond Liquidity—Factors to Consider and Questions to Ask
July 6, 2015

FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds
June 26, 2015

FINRA Supports NAC Members, Chris Brummer During Online Harassment
June 22, 2015

FINRA Fines Morgan Stanley Smith Barney and Scottrade a Total of $950,000 for Failing to Supervise the Transmittal of Customer Funds to Third-Party Accounts
June 17, 2015

FINRA Issues New Investor Alert, Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death
June 10, 2015

FINRA Foundation and D2D Fund Launch Interactive Strategy Game to Fight Investment Fraud
June 1, 2015

FINRA Launches National Ad Campaign Promoting BrokerCheck
June 1, 2015

FINRA Brings Transparency to Asset-Backed Securities Market
May 13, 2015

FINRA Fines Morgan Stanley $2 Million for Short Interest Reporting and Short Sale Rule Violations
May 12, 2015

FINRA's NAC Strengthens Sanction Guidelines for Fraudulent Conduct

Pages