Industry News

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

• New Research: Repeated Exposure to Fraud Awareness Education Reduces Susceptibility to Investment Scams
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-03-10
• FINRA Promotes Stephanie Dumont to Head Market Regulation and Transparency Services
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-03-08
• First-of-its-Kind Study Identifies Drivers of Chronic Fraud Victimization
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-03-04
• Statement by FINRA President and CEO Robert W. Cook Upon the Death of Former NASD Chairman and CEO Robert Glauber
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-02-16
• New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-02-16
• New Research: Global Pandemic Brings Surge of New and Experienced Retail Investors Into the Stock Market
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-02-02
• FINRA Publishes 2021 Report on FINRA’s Examination and Risk Monitoring Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-02-01
• FINRA Board Appoints Deborah Bailey and Kathryn Ruemmler as Newest Governors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2021-01-08
• FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-31
• FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-30
• FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-21
• FINRA Appoints Scott W. Anderson as Head of Market Regulation and Transparency Services
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-15
• Maintaining Over $100 in Savings Linked to Increased Likelihood of Financial Stability in Lower Income Households
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-10
• Report from FINRA Board of Governors Meeting – December 2020
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-12-09
• Statement from Robert W. Cook, FINRA President and CEO Regarding SEC Chairman Jay Clayton
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-11-16