Industry News

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

• FINRA Fines BofA Securities, Inc. $5 Million for Large Options Position Reporting Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-09-12
• FINRA Orders Joseph Stone Capital and Several Representatives to Pay $1 Million in Restitution for Excessive Trading in Customer Accounts
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-09-08
• FINRA Promotes Nathaniel Stankard to Executive Vice President and Chief of Staff to the CEO for Regulatory Operations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-08-31
• FINRA Board of Governors Elects Eric Noll as Chair
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-08-19
• AARP, FINRA Foundation Team Up to Address Victim Blaming in Financial Fraud
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-07-21
• National Study by FINRA Foundation Finds U.S. Adults’ Financial Capability Has Generally Grown Despite Pandemic Disruption
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-07-14
• FINRA Bars Two Individuals for Cheating on Online Qualification Exams
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-07-13
• FINRA Publishes Independent Counsel’s Report on Arbitrator Selection Process
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-06-29
• FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-06-23
• FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $15.2 Million in Restitution
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-06-02
• FINRA Appoints Michael Solomon Senior Vice President of Examinations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-06-02
• Report From FINRA Board of Governors Meeting – May 2022
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-05-20
• FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-05-04
• FINRA Publishes 2022 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-05-02
• FINRA Seeks Advisory Committee Members
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-03-31