- FINRA Handles Record Volume of Market Activity through First Six Months of 2018
/*–>*/ /*–>*/ Cloud Strategy Enables Seamless Processing and Robust Market Surveillance - FINRA Launches Enhanced Public Records Review
New FINRA360 Initiative Improves Data Quality for Regulators and Investors, and Lowers Firm Compliance Risks and Costs - Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors
Nagengast Elected to Fill One of Three Large-Firm Seats on FINRA Board WASHINGTON – FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to … - FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
WASHINGTON — FINRA announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami, FL, for continuing to conduct firm business while serving a three-month suspension … - FINRA Announces Initiative to Transform CRD, Other Registration Systems
New Technology Will Lead to Enhanced Efficiencies and Reduced Compliance Costs for Firms - FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) Board of Directors approved initiatives at its June meeting to expand personal finance programs and services for adults and chil … - FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
Awards Recognize Research by Undergraduate and Graduate Students in Economics, Psychology, Consumer Sciences and Social Work WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) tod … - Report from FINRA Board of Governors Meeting – May 2018
Board Approves Rule Proposals and Previews Annual Financial Report WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule propo … - FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3 million for systemic ant … - FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today it has fined Fifth Third Securities, Inc., $4 million and required the firm to pay approximately $2 million in restitut …
