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News

US Regulator Asks to Be Informed if Member Businesses Use Cryptocurrency

  • Relevant activities include mining and acceptance of cryptocurrency from customers.
Wednesday, 11/07/2018 | 08:30 GMT by Simon Golstein
Regulation

FINRA To Strengthen Background Checks For Broker Hires

  • From next Monday, the regulator will begin to perform public record reviews of potential financial advisors.
Friday, 06/07/2018 | 10:41 GMT by Celeste Skinner
Regulation

FINRA Approves Regulatory Registration of Redbridge Securities

  • The company looks to leverage its newly acquired regulation to expand its business operations and client base.
Tuesday, 02/01/2018 | 10:10 GMT by Finance Magnates Staff
Regulation

Citigroup Global Markets Fined $11 Million for Faulty Ratings

  • The mistakes affected investment decisions ‎that were based on CGMI’s ratings‎.
Thursday, 28/12/2017 | 18:03 GMT by Aziz Abdel-Qader
Regulation

J.P. Morgan Securities Fined $2.8 Million for Violating Customer Protection Rule

  • JPMS‎ neither admitted nor denied the charges, but consented to the entry ‎of ‎FINRA’s findings. ‎
Wednesday, 27/12/2017 | 18:40 GMT by Aziz Abdel-Qader
Regulation

FINRA Cautions Investors After Uptick of Crypto-Related Stock Scams

  • A number of 'pump and dump' scams have been preying on US investors.
Thursday, 21/12/2017 | 19:00 GMT by Jeff Patterson
News

Overstock CEO Reveals New Details of Expected $500 Million ICO

  • Overstock CEO Patrick Byrne said: "From what I am hearing, we are going to raise a fortune – $200-$500m easily."
Wednesday, 25/10/2017 | 11:00 GMT by Avi Mizrahi
Regulation

Wells Fargo Customers Get $3.4 Million in Restitution Over Sales Practices

  • Wells Fargo consented to the order without admitting or denying the findings.
Monday, 16/10/2017 | 19:46 GMT by Aziz Abdel-Qader
News

First SEC-Compliant Alternative Trading System Launched for ICO Market

  • The SEC recently made it clear that any token with an income stream is a security, and thus subject to related regulations.
Wednesday, 27/09/2017 | 11:42 GMT by Avi Mizrahi
Regulation

FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting

  • The bank did not account for numerous conventional options positions between January 2010 and July 2016.
Wednesday, 19/07/2017 | 11:11 GMT by Finance Magnates Staff
Regulation

FINRA Takes Aim at High-Risk Brokers with New Proposals, Controls

  • The initiative will give FINRA more tools and latitude against high-risk brokers that engage in misconduct.
Friday, 12/05/2017 | 07:06 GMT by Jeff Patterson
Regulation

FINRA Slaps $3.25m Fine on Deutsche Bank Securities for ATS Violations

  • Deutsche Bank Securities has been fined for failing to provide uniform information to Alternative Trading System users.
Friday, 16/12/2016 | 16:45 GMT by Jeff Patterson
Executive Moves

FINRA’s Enforcement Chief Parts Ways with Wall Street Self Regulator

  • Before joining FINRA in 2011, Mr. Bennett had a long career as a defense lawyer.
Thursday, 15/12/2016 | 17:22 GMT by Aziz Abdel-Qader
Regulation

SEC Approves FINRA Rules for Further Price Disclosure on Retail Transactions

  • The pricing disclosure would include a dealer’s mark-up and mark-down on retail‑sized transactions.
Friday, 18/11/2016 | 17:17 GMT by Aziz Abdel-Qader
Regulation

FINRA Proposes New Bill to Fight Elder Fraud

  • The rules help brokers spot red flags to identify unusual or suspicious behavior.
Thursday, 20/10/2016 | 15:28 GMT by Aziz Abdel-Qader
Regulation

Merrill Lynch Fined $2.8 Million by FINRA for Reporting Violations

  • A large part of the transmitted information was deemed inaccurate.
Tuesday, 18/10/2016 | 16:32 GMT by Aziz Abdel-Qader
Regulation

FINRA Warns Investors Against ‘Follow-Up’ Scams

  • People who have already lost money to one scam should now be wary of a new fraud.
Monday, 19/09/2016 | 16:48 GMT by Aziz Abdel-Qader
Regulation

FINRA Levies $12.5 M Fine on Deutsche Bank for Inadequate Supervision over ‘hoots'

  • The industry-backed watchdog fined Deutsche Bank over possible unauthorized access to material non-public information.
Monday, 08/08/2016 | 15:42 GMT by Aziz Abdel-Qader
Regulation

FINRA Publishes Guide on How to Detect a Boiler Room Scam

  • The Financial Industry Regulatory Authority has issued an Investor Alert about boiler room scams following numerous complaints.
Thursday, 04/08/2016 | 15:09 GMT by Finance Magnates Staff
Regulation

FINRA Levies $1.3m Fine on Barclays Capital for Supervisory Failures

  • Regulatory lapses across Barclays Capital's Order Audit Trail System have resulted in a fine from FINRA.
Wednesday, 03/08/2016 | 17:22 GMT by Jeff Patterson
Regulation

FINRA Charges Hank Mark Werner with Churning Customer Accounts

  • A FINRA registered broker-dealer lands on the regulator's 'bad guys' list for rampant churning of customer accounts.
Monday, 01/08/2016 | 17:00 GMT by Aziz Abdel-Qader
Executive Moves

FINRA Taps Vanguard's John Brennan as Chairman

  • Mr. Brennan will join FINRA in the second half of 2016 from Vanguard Group.
Friday, 15/07/2016 | 19:36 GMT by Aziz Abdel-Qader
Regulation

FINRA Releases National Financial Capability Study of 27000 US Adults

  • The study released by FINRA shows US consumer trends in finance-related categories.
Tuesday, 12/07/2016 | 19:23 GMT by Steven Hatzakis
Regulation

FINRA Levies $6 Million Fine on Deutsche Bank For Late “Blue Sheets”

  • FINRA fines Deutsche Bank AG's securities arm for submitting inaccurate and late trade data.
Wednesday, 29/06/2016 | 20:14 GMT by Aziz Abdel-Qader
Regulation

Merrill Lynch Fined $425m For Misleading Investors and Misusing Assets

  • SEC and FINRA launched a crackdown on Merrill Lynch which will pay more than $400 million to settle several violations.
Thursday, 23/06/2016 | 23:57 GMT by Aziz Abdel-Qader
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