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News Releases

November 11, 2019

New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans

November 06, 2019

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes

October 24, 2019

FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures

October 21, 2019

FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of Elderly Client with Dementia

October 16, 2019

FINRA Publishes 2019 Report on Examination Findings and Observations

October 15, 2019

FINRA Board of Governors Appoints Peter Fisher as Newest Governor

October 10, 2019

Many U.S. Investors Ill Equipped to Manage Personal Finances, Especially Investments

October 08, 2019

FINRA Provides New Reg BI and Form CRS Resources

October 03, 2019

Report from FINRA Board of Governors Meeting – September 2019

October 03, 2019

FINRA Foundation Awards 2019 Ketchum Prize

October 02, 2019

FINRA Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities

October 02, 2019

FINRA Publishes 2019 Industry Snapshot

September 30, 2019

New Fraud Research: Low Financial Literacy Levels and Social Isolation Increase Consumers’ Likelihood of Being Scammed

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

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