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News Releases

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
October 30, 2018

FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
October 5, 2018

Report from FINRA Board of Governors Meeting – September 2018
October 4, 2018

CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing
October 1, 2018

FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
October 1, 2018

FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
September 27, 2018

FINRA Launches New SIE Exam to Streamline Examination Process for Prospective Candidates Entering the Securities Industry
September 20, 2018

FINRA Foundation Awards 2018 Ketchum Prize to Dr. Annamaria Lusardi
September 19, 2018

FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence
September 11, 2018

FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
September 10, 2018

FINRA Releases Report on the Rise of RegTech
September 6, 2018

CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education (CE) Program
August 28, 2018

FINRA Announces Governor Elections

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