Industry News

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

• FINRA Foundation Awards 2023 Ketchum Prize to Long-Time Financial Fraud Fighter Doug Shadel
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-10-04
• FINRA’s Maintaining Qualifications Program Second Enrollment Period Open Through December 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-10-03
• SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-09-29
• Report From FINRA Board of Governors Meeting – September 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-09-26
• FINRA Announces Results of Governor Elections
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-09-06
• FINRA Foundation and AFCPE Announce 2023 FINRA Foundation Military Spouse Fellows
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-08-29
• FINRA Names Bill St. Louis as New Head of Enforcement
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-08-21
• FINRA Correspondence With Next Bridge Hydrocarbons, April-June 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-07-27
• Report From FINRA Board of Governors Meeting – July 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-07-19
• FINRA Fines Merrill Lynch $6 Million for Longstanding AML Program Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-07-11
• FINRA Expels Monmouth Capital Management
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-07-07
• SEC, NASAA, FINRA to Co-Host Webinar on Identifying and Reporting Suspected Senior Financial Exploitation
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-06-07
• Report From FINRA Board of Governors Meeting – May 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-05-25
• FINRA Foundation-CFA Institute Research Focuses on Gen Z Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-05-24
• FINRA Expels SW Financial, Suspends Owner and CEO
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-05-12