July 27, 2017

WASHINGTON — Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rul…

July 12, 2017

WASHINGTON — The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corpo…

July 12, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing outside business activities and private securities transactions as part of a new retrosp…

July 12, 2017

WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its Special Meeting on May 19, 2017, to elect one Large-Firm Governor to the FINRA Boa…

July 12, 2017

Nearly 60 E-Learning Classes Now Eligible for CE Credits Following CFP® Board Review WASHINGTON — The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Pl…

July 12, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing ap…

July 12, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in…

July 12, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Office of the Chief Economist today posted a new Research Note on liquidity in structured products, complementing an earlier report on …

July 12, 2017

Blockchain Symposium to Take Place in NYC on July 13 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to fo…

July 12, 2017

Heyman to succeed Jack Brennan effective July 18 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vic…