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Latest news and analysis on Finra (Financial Industry Regulatory Authority) (136 items)

11 Jan 2013
Company
Finra issues voluntary interim form for crowdfunding portals
14 Dec 2012
Company
BBB and Finra launch smart investing Web site
28 Nov 2012
Company
Finra and JSDA ink MoU
06 Nov 2012
Company
Finra and AFM ink market surveillance MoU
24 Sep 2012
Company
Finra fines Merrill Lynch $500,000 for reporting failures
31 Jul 2012
Company
Finra bars former Quote MTF chairman Peter Beck
12 Jul 2012
News
SEC votes for consolidated audit trail system
21 Jun 2012
Company
Finra fines Merrill Lynch $2.8M for overcharging and computer-generated trade reporting errors
23 Mar 2012
News
Getco fined $450k over lax HFT supervision
20 Mar 2012
Company
Bloomberg open identifiers acknowledged by Finra
27 Jan 2012
News
SEC charges Latvian trader with account hijacking; Finra warns of e-mail hack attacks
25 Jan 2012
Company
Finra fines Merrill $1 million over bonus arbitration disputes
01 Dec 2011
Company
SEC and Finra warn broker-dealers over branch inspections
21 Nov 2011
Company
Finra and Ontario Securities Commission ink MoU
28 Oct 2011
News
SEC rebukes Finra over altered documents
26 Oct 2011
News
UBS comes up short; fined $12 million by Finra for 'systemic supervisory failure'
18 Oct 2011
Company
Finra and IDC disseminate securitised product data
24 Aug 2011
News
Finra issues more social media guidance
09 Aug 2011
Company
Finra slaps $500k fine on Citigroup for supervisory failings in employee theft case
26 May 2011
News
Morgan Stanley Smith Barney lets brokers tweet
17 May 2011
Company
Finra launches disciplinary actions database
06 Apr 2011
News
SEC outlines plans to tackle market volatility
18 Feb 2011
Company
Lincoln Financial fined for failing to safeguard customer data
16 Feb 2011
News
SEC scrutinises social media; Finra to re-examine guidance
07 Feb 2011
News
SunGard introduces social media surveillance tech
25 Oct 2010
Company
Finra hires Samuel Gaer to head tech and Trace units
22 Oct 2010
Company
Finra appoints J Bradley Bennett head, enforcement
13 Sep 2010
News
Finra hands out $2.3m fine as HFT crackdown begins
13 Sep 2010
Company
SEC expands circuit breaker rules
21 Jul 2010
Company
Finra slaps $7.5 million fine on Deutsche Bank for subprime reporting
16 Jul 2010
News
Regulators turn up the heat on social media-linked scammers
25 Jun 2010
Company
Finra fines Phoenix Derivatives Group over improper communications
15 Jun 2010
Company
Finra takes on Nyse Euronext market oversight
11 Jun 2010
Company
SEC approves new circuit breaker rules
27 May 2010
News
SEC votes in favour of $4 billion audit trail; Finra widens net to back office
24 May 2010
Company
Finra fines Piper Jaffray $750,000 for e-mail retention failures
19 May 2010
News
FaceTime beefs up social networking policing app
19 May 2010
News
Flash crash prompts circuit breaker roll-out
14 May 2010
News
Finra fines Deutsche Bank and NFS over short sales violations
29 Apr 2010
Company
Finra bars Prestige trader/compliance officer for scamming customers
13 Apr 2010
News
US finance firm DA Davidson fined over data breach
07 Apr 2010
Company
Finra fines Citigroup $650,000 for stock borrower failings
02 Mar 2010
Company
Finra expands Trace
02 Mar 2010
Company
Sifma adds price data for federal agency bonds to investinginbonds site
17 Feb 2010
Company
Finra looks to expand available info on online BrokerCheck service
02 Feb 2010
Company
Finra fines Penson Financial Services $450,000 for AML failings
26 Jan 2010
News
Finra issues social networking guidance
10 Dec 2009
News
National Futures Association throws the rule book at social networkers
24 Nov 2009
News
Finra fines Terra Nova $400,000 over improper payments
18 Nov 2009
Company
Finra fines MetLife Securities for e-mail violations
18 Nov 2009
Company
Finra gets nod to expand BrokerCheck service
29 Oct 2009
News
Finra forms Social Networking Task Force
29 Oct 2009
Company
Finra and AMF ink market surveillance MoU
26 Oct 2009
News
Finra fines Scottrade $600,000 for AML failings
20 Oct 2009
News
Nyse makes move to improve dark pool transparency
13 Oct 2009
News
Finra fines Citi $600,000 for weak trade supervision
01 Oct 2009
Company
Finra proposes expanding Trace reporting to asset-backed securities
22 Sep 2009
News
Citi, UBS and Deutsche Bank fined over outsourced IPO communications
01 Jul 2009
Company
Finra fines Icap $2.8 million for alleged price fixing
19 May 2009
Company
Finra expels Kirlin Securities for stock manipulation