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Finra
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Kinesis Mint Becomes the Official Partner for the House of
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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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
Exchanges
FINRA Slaps $900K Fine on E*Trade for Execution Failings
FINRA ruled that E*Trade’s customer orders to exchanges and market centers were not executed in a proper fashion.
Thursday, 02/06/2016 | 16:01 GMT
by
Jeff Patterson
Regulation
FINRA and SFC Sign MoU Amid Decline for Banker's Expat Perks in Hong Kong
FINRA and SFC agree on cross-border synergy amid other trends evident in Hong Kong.
Friday, 20/05/2016 | 09:58 GMT
by
Steven Hatzakis
Regulation
FINRA Charges Lawson Financial Corp With Charitable Securities Fraud
FINRA has unearthed a multi-million dollar case of securities fraud, issuing a complaint against Lawson Financial Corporation.
Thursday, 19/05/2016 | 19:00 GMT
by
Jeff Patterson
Regulation
FINRA Levies $17 Million Fine on Raymond James for AML Compliance Failures
The fine was imposed as a result of systematic failures in the firms' anti-money laundering procedures.
Wednesday, 18/05/2016 | 15:55 GMT
by
Finance Magnates Staff
Regulation
SEC Calls For Reporting Of Treasury Cash Market Transactions
The request is aimed at safeguarding the deepest and most liquid securities market in the world.
Tuesday, 17/05/2016 | 19:29 GMT
by
Finance Magnates Staff
Brokers
Interactive Brokers CEO Predicts More Consolidation in US Brokerage Industry
One of the pioneers of electronic trading has stated in an interview that the industry is ripe for consolidation
Tuesday, 17/05/2016 | 17:31 GMT
by
Victor Golovtchenko
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Regulation
FINRA Issues Cross-Market Report Cards To Halt Spoofing and Layering
New equities supervision reports help firms identify potential market manipulation.
Thursday, 28/04/2016 | 19:03 GMT
by
Finance Magnates Staff
Regulation
Wedbush Securities Fined $675K by FINRA and Nasdaq
The fine follows the $3 million censure of one of its customers, Scout Trading LLC.
Monday, 21/03/2016 | 13:31 GMT
by
Steven Hatzakis
Exchanges
Dark Pool Dive: Beyond BarCap and Credit Suisse Fines
Neither wrongdoing nor regulation seems to put off the buy side from dark trading.
Friday, 05/02/2016 | 18:10 GMT
by
Anna Reitman
Regulation
FINRA Slaps $1 Million Fine on Fidelity Brokerage for Oversight Failures
Fidelity Brokerage drew a collective fine of in excess of $1 million for failing to detect or prevent the theft of a similar amount.
Friday, 18/12/2015 | 15:40 GMT
by
Jeff Patterson
Executive Moves
FINRA Names Former Fed CEO, Charles I. Plosser, to its Board of Governors
Over his career, Mr. Plosser has worked as a senior consultant to several corporations in various sectors of the financial industry.
Friday, 18/12/2015 | 11:00 GMT
by
Jeff Patterson
Execution
FINRA Levies $1.8 Million Fine on Goldman Sachs Subsidiary
FINRA’s latest order stems from a systemic Order Audit Trail System (OATS) reporting violation at Goldman Sachs
Tuesday, 28/07/2015 | 13:06 GMT
by
Jeff Patterson
Regulation
Two More Companies Slapped With FINRA Fines
Morgan Stanley Smith Barney (Morgan Stanley) and Scottrade have been penalised for lacking robust supervisory systems .
Monday, 22/06/2015 | 18:13 GMT
by
Andy Traveller
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Regulation
FINRA Proposes Broker Information Disclosure on Recruitment Practices
FINRA has unveiled a second-generation proposal for investors to help elicit information from brokers on recruitment practices.
Thursday, 28/05/2015 | 11:49 GMT
by
Jeff Patterson
Regulation
FINRA’s NAC Revises Sanction Guidelines in Effort to Mitigate Fraud
FINRA National Adjudicatory Council has made a number of key revisions to its Sanction Guidelines, helping stamp out fraud.
Tuesday, 12/05/2015 | 16:34 GMT
by
Jeff Patterson
Regulation
American Stocks Day-Trading Firm Monex Fined $1.3 Million for Not Registering Mexican Personnel
Unregistered employees conducted business on Monex's behalf in the US, including collecting client information needed to open accounts, making investment recommendations to clients and transmitting orders.
Tuesday, 30/12/2014 | 16:12 GMT
by
Avi Mizrahi
Technology
Clearing House Pershing Fined $3 Million by American Regulator for Endangering Client Funds
FINRA found that from November 2010 to August 2011, Pershing failed to maintain adequate reserves to meet its reserve deposit requirements with deficiencies ranging from approximately $4 million to $220 million.
Monday, 29/12/2014 | 17:01 GMT
by
Avi Mizrahi
Regulation
FINRA Levies Joint $1.5Million Fine against Wells Fargo Affiliates
The Financial Industry Regulatory Authority (FINRA) has issued a collective fine for two broker-dealers under common control, Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN) for $1.5 million.
Thursday, 18/12/2014 | 22:02 GMT
by
Jeff Patterson
Analysis
INTL FCStone Inc Acquires Fixed Income Dealer G.X. Clarke & Co
The target company is dealing with U.S. treasuries, federal agency and mortgage-backed securities primarily to institutional investors, the closing of the deal is expected to conclude in early 2015.
Thursday, 13/11/2014 | 10:22 GMT
by
Victor Golovtchenko
Regulation
FINRA & SEC Issue Investor Warning on Penny Stock Fraudsters
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy has released a warning to investors over volatile penny stocks.
Thursday, 30/10/2014 | 17:53 GMT
by
Jeff Patterson
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Analysis
FINRA Fines Merrill Lynch $6 Mln for Failing to Prevent Naked Short Selling
Bank of America will have to pay for both the fines after it took over Merrill Lynch at the height of the financial crisis in September 2008 inheriting the units which didn't comply with SEC's "fail-to deliver" rules.
Monday, 27/10/2014 | 23:08 GMT
by
Victor Golovtchenko
Technology
NYSE Integrates Cinnober for Its Regulatory Technology Provisions
The NYSE Group has announced that its NYSE Regulation operations has selected Cinnober for its technology provisions as it looks to expand its market surveillance and enforcement program for its exchanges.
Tuesday, 07/10/2014 | 09:34 GMT
by
Jeff Patterson
Analysis
NYSE Turns to Its Subsidiary for Surveillance, Investigation and Enforcement Instead of FINRA
The group will not extend its contract with the Financial Industry Regulatory Authority and its NYSE Regulation will directly perform the functions for the group’s three equities exchanges and two options exchanges.
Monday, 06/10/2014 | 18:57 GMT
by
Avi Mizrahi
Analysis
FINRA Approves Series of Rule Changes Regarding HFT & Algorithmic Trading
The Financial Industry Regulatory Authority (FINRA) issued an announcement highlighting that its Board of Governors approved a series of proposed rule changes related to equity trading and fixed income rulemaking.
Friday, 19/09/2014 | 20:26 GMT
by
Victor Golovtchenko
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