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News Releases

June 18, 2018

FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
June 14, 2018

FINRA Announces Initiative to Transform CRD, Other Registration Systems
June 7, 2018

FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
May 18, 2018

FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
May 17, 2018

Report from FINRA Board of Governors Meeting – May 2018
May 16, 2018

FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
May 8, 2018

FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
April 24, 2018

FINRA Progress Report on FINRA360 Highlights Significant Changes
April 16, 2018

FINRA Names Timothy C. Scheve to Board of Governors
April 12, 2018

FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
April 11, 2018

Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
March 29, 2018

FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
March 28, 2018

FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
March 28, 2018

Across Generations, Women Trail Men in Financial Knowledge – but the Gap May Be Closing
March 14, 2018

Report from FINRA Board of Governors Meeting – March 2018
March 1, 2018

FINRA Foundation Seeks Applicants for Military Spouse Fellowship
February 16, 2018

FINRA Warns Investors of 'Regulator' Imposter Scams
February 13, 2018

FINRA Foundation Announces New Appointments to Board of Directors
February 8, 2018

FINRA Releases Paper Providing Perspectives on Customer Recovery
February 5, 2018

New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation
February 5, 2018

FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
February 1, 2018

FINRA Announces Comprehensive Changes to Advisory Committees, Including Creation of Two New Committees
January 22, 2018

FINRA Launches Small Firm Helpline to Provide Enhanced Support
January 18, 2018

FINRA Publishes Budget Summary and Financial Principles for First Time
January 8, 2018

FINRA Releases 2018 Regulatory and Exam Priorities

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