Industry News

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

• FINRA Extended Hearing Panel Expels Alpine Securities; Orders Alpine to Pay $2.3 Million in Restitution to Customers
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-03-24
• FINRA Issues Reminder About the Scope of Chief Compliance Officer Supervisory Liability
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-03-17
• Report From FINRA Board of Governors Meeting – March 2022
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-03-16
• FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-03-08
• FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-02-18
• FINRA Publishes 2022 Report on Exam and Risk Monitoring Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-02-09
• FINRA Fines Credit Suisse Securities $9 Million for Multiple Operational Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-01-20
• FINRA Announces Final Results of Targeted Examination of Unit Investment Trust Early Rollovers
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-12-13
• Report from FINRA Board of Governors Meeting – December 2021
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-12-08
• FINRA Appoints Bill St. Louis Executive Vice President of National Cause and Financial Crimes Detection Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-12-07
• FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags; Representatives Sanctioned
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• FINRA Foundation Awards 2021 Ketchum Prize to Shawn Spruce
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• Report from FINRA Board of Governors Meeting – September 2021
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11