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News Releases

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 Program
August 28, 2018

FINRA Announces Governor Elections
August 20, 2018

FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
August 9, 2018

FINRA Publishes First Annual Industry Snapshot
August 6, 2018

Military Spouses Receive Fellowships to Conduct Financial Counseling
July 30, 2018

FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
July 26, 2018

FINRA Announces Enforcement Structure, Senior Leadership Team
July 25, 2018

Report from FINRA Board of Governors Meeting – July 2018
July 12, 2018

FINRA Handles Record Volume of Market Activity through First Six Months of 2018
July 5, 2018

FINRA Launches Enhanced Public Records Review
June 28, 2018

Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors
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

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