Industry News

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

• New Research Examines Why Some Consumers are More Vulnerable to Financial Scams
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• FINRA Names Sarah Gill as Ombudsman, Cindy Foster as VP of MAP Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• FINRA Announces Governor Elections and Appointments
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-11-11
• 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 2021-11-09
• New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-10-07
• FINRA Foundation Awards 2021 Ketchum Prize to Shawn Spruce
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-10-05
• Report from FINRA Board of Governors Meeting – September 2021
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-29
• FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-28
• FINRA Names Sarah Gill as Ombudsman, Cindy Foster as VP of MAP Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-23
• New Research Examines Why Some Consumers are More Vulnerable to Financial Scams
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-22
• SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-20
• FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-10
• FINRA Announces Governor Elections and Appointments
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-09-01