FINRA News

FINRA Announces Results of Governor Elections
FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond …
SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual …
Report From FINRA Board of Governors Meeting – September 2023
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles …
FINRA Foundation Awards 2023 Ketchum Prize to Long-Time Financial Fraud Fighter Doug Shadel
The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on protecti …
FINRA’s Maintaining Qualifications Program Second Enrollment Period Open Through December 2023
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023. The second enrollment period is available to tho …
FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
Quantum Computing Has Potential to Reshape Securities Industry, New FINRA Report Says
Report Brings Attention to Opportunities and Risks Presented by the Technology WASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While …
FINRA Announces Departure of Enforcement Deputy Head Christopher Kelly
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Sen …
Jon Kroeper, EVP-Quality of Markets, to Depart FINRA
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
FINRA Fines BofA Securities $24 Million for Treasuries Spoofing and Related Supervisory Failures
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related …