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News Releases

September 19, 2019

FINRA EVP of Enforcement Susan Schroeder Announces Departure

September 16, 2019

FINRA Fines J.P. Morgan Securities LLC, $1.1 Million for Failing to Timely Disclose 89 Allegations of Misconduct over a Six-Year Period

August 27, 2019

FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement

August 19, 2019

FINRA Announces Governor Elections and Appointments

July 29, 2019

FINRA Fines Citigroup Global Markets Inc $1.25 Million for Employee Screening Violations

July 17, 2019

FINRA Announces Final Results of Mutual Fund Waiver Initiative

July 11, 2019

FINRA Releases New Guidance on Credit for Extraordinary Cooperation

July 08, 2019

Joint Statement on Broker-Dealer Custody of Digital Asset Securities

July 02, 2019

FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded

June 20, 2019

Financial Prosperity Eludes Many Americans Despite Growing Economy and Declining Unemployment

June 07, 2019

FINRA Foundation Honors Top Student Researchers for Advancing Understanding of Financial Capability in the United States

May 23, 2019

NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet

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 02, 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

National Compliance Outreach Program for Broker-Dealers June 27

April 01, 2019

FINRA Foundation and ALA Announce Thinking Money for Kids

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 05, 2019

FINRA Fines Cantor Fitzgerald 2 Million for Regulation SHO Violations and Supervisory Failures

March 01, 2019

FINRA Foundation Seeks Applicants for Military Spouse Fellowship

January 28, 2019

FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings Plan Violations

January 28, 2019

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

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