FINRA

Regulation

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

By James Langton |August 23, 2023

2 min read

Industry

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

By James Langton |May 12, 2023

2 min read

Industry

Merrill Lynch resolves mutual fund overcharging case

Firm's systems failed to spot clients who were eligible for cheaper fund series

By James Langton |June 2, 2022

2 min read

Industry

FINRA seeks to speed arb for ill, elderly

American SRO proposes rule to accelerate resolutions for vulnerable investors

By James Langton |March 18, 2022

2 min read

Industry

FINRA sanctions Credit Suisse

Firm violated SEC and SRO rules, including analyst disclosure requirements

By James Langton |January 20, 2022

1 min read

Industry

Merrill Lynch sanctioned for alleged churning

FINRA has fined the firm and ordered restitution, for early rollover recommendations

By James Langton |June 25, 2021

1 min read

Industry

FINRA tackles the problem of repeat offenders

SRO adopts rule changes to enhance investor protection

By James Langton |March 12, 2021

1 min read

Industry

Firm fined US$2 million for failing to supervise short selling

FINRA sanctions Cantor Fitzgerald

By Staff |March 5, 2019

2 min read

Industry

Industry still waiting for best interest clarity

At the National Institute on U.S.-Canadian Securities Litigation in Toronto this week, regulators and litigators discussed industry developments. Best interest standard at a standstill? Panellists expressed concern about the best interest standard’s regulatory uncertainty and unintended consequences for advisors and firms’ business models. For example, the OSC needs to clarify the difference between a best […]

By Michelle Schriver |October 5, 2017

3 min read

Industry

Four U.S. firms fined combined total of nearly US$5M: FINRA

Find out more

By Staff |July 27, 2017

2 min read

1 2 3 … 6 Next →