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News Releases

May 23, 2019

NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
May 14, 2019

FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs
May 14, 2019

Report from FINRA Board of Governors Meeting – May 2019
May 2, 2019

FINRA Sanctions AXA Advisors, LLC Approximately $772,000 for Misrepresentations to 401(k) Plan Sponsors and Participants
April 25, 2019

FINRA Orders Buckman, Buckman & Reid to Pay Approximately $205,000 in Restitution to Customers for Supervisory Failures Involving Excessive and Unsuitable Trading
April 24, 2019

FINRA Forms Office of Financial Innovation, Announces Haimera Workie as Head
April 16, 2019

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
April 1, 2019

FINRA Foundation and ALA Announce 50 Public Libraries to Host Thinking Money for Kids Traveling Exhibition
March 28, 2019

FINRA Proposes Disseminating New-Issue Reference Data for Corporate Bonds
March 13, 2019

Report from FINRA Board of Governors Meeting – February/March 2019
March 5, 2019

FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures
March 1, 2019

FINRA Foundation Seeks Applicants for Military Spouse Fellowship
January 28, 2019

FINRA Working Paper: High Broker-Affiliated ATS Order Routing Associated with Lower Fill Rates, Higher Costs
January 28, 2019

FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings Plan Violations
January 23, 2019

Market Volatility Drives FINRA’s Volume to New Record in 2018
January 22, 2019

FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter
December 26, 2018

FINRA Fines Morgan Stanley $10 Million for AML Program and Supervisory Failures
December 24, 2018

FINRA Foundation Establishes Nation’s First-of-Its-Kind Grant Program to Help Public Libraries Aid Consumers Following Natural Disasters
December 21, 2018

Report from FINRA Board of Governors Meeting – December 2018
December 20, 2018

FINRA Sanctions Merrill Lynch $6 Million for Selling IPOs to Industry Insiders
December 20, 2018

FINRA Publishes Report on Selected Cybersecurity Practices – 2018
December 17, 2018

FINRA Fines UBS $5 Million for Significant Deficiencies in Anti-Money Laundering Programs
December 13, 2018

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
December 7, 2018

FINRA Publishes 2018 Report on Examination Findings
November 15, 2018

FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards

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