Industry News

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

• New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-08-16
• FINRA Board of Governors Appoints Sam Deshpande as Newest Governor
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-07-07
• FINRA Orders Record Financial Penalties Against Robinhood Financial LLC
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-06-30
• FINRA Launches Educational Initiative Aimed at Newer Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-06-30
• FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $8.4 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-06-25
• FINRA, SEC and NASAA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-06-15
• FINRA Statement on Temporary Withdrawal of Specialized Arbitrator Roster Rule Filing
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-05-28
• Report from FINRA Board of Governors Meeting – May 2021
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-05-26
• FINRA Publishes 2021 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-05-25
• FINRA Foundation Announces 2021 Research Award Recipients
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-05-20
• Large Number of Americans Reported Financial Anxiety and Stress Even Before the Pandemic
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-04-28
• FINRA Bars Research Analyst for Insider Trading
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-04-20
• FINRA Statement Regarding Confirmation of Gary Gensler as SEC Chairman
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-04-14
• New Research: Lonely Older Adults with Low Cognition at Greater Risk for Poor Financial And Healthcare Decision Making
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-03-22
• Report from FINRA Board of Governors Meeting – March 2021
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-03-10