Industry News

Keep up to date on financial industry news and the regulatory authorities through these resource links:

• Report From FINRA Board of Governors Meeting – March 2024
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-03-15
• FINRA Announces Three New Governors on Its Board
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-02-16
• FINRA Fines Morgan Stanley $1.6 Million for Municipal Securities Violations and Related Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-02-15
• New Members Appointed to FINRA Foundation Board; Jonathan Sokobin Named Chair
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-02-12
• FINRA Publishes Crypto Asset Communications Sweep Update
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-01-23
• FINRA Foundation Research Examines Investors of Color
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-01-10
• FINRA Publishes 2024 Regulatory Oversight Report
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-01-09
• FINRA Names Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-12-21
• Report From FINRA Board of Governors Meeting – December 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-12-15
• FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-12-06
• FINRA Fines BofA Securities $24 Million for Treasuries Spoofing and Related Supervisory Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-11-30
• Jon Kroeper, EVP-Quality of Markets, to Depart FINRA
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-11-17
• FINRA Announces Departure of Enforcement Deputy Head Christopher Kelly
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-10-31
• Quantum Computing Has Potential to Reshape Securities Industry, New FINRA Report Says
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-10-30
• FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-10-05