- FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
First Disciplinary Action by FINRA Involving Cryptocurrencies WASHINGTON – FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with secur … - FINRA Releases Report on the Rise of RegTech
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration WASHINGTON – FINRA today released a white paper outlining recent regulatory technology (RegTech) developments within th … - CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
WASHINGTON – The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for regist … - FINRA Announces Governor Elections
WASHINGTON – FINRA announced today the election of three Governors to its Board of Governors: - FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
WASHINGTON – FINRA announced today that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years … - FINRA Publishes First Annual Industry Snapshot
Statistical Overview of Brokerage Firms, Registered Individuals and Trading Activity WASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the broke … - Military Spouses Receive Fellowships to Conduct Financial Counseling
WASHINGTON — Fifty military spouses living in the United States and abroad will have an opportunity to earn the Accredited Financial Counselor® (AFC®) designation to offer one-on-one financial and gro … - FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its mission of investor protection and market integrity … - FINRA Announces Enforcement Structure, Senior Leadership Team
Integration of Enforcement Functions Complete; Unified Enforcement Program Key Outcome of FINRA360 - Report from FINRA Board of Governors Meeting – July 2018
Board Approves Rule Proposals, Welcomes New Governors and Honors Retiring Governors WASHINGTON—FINRA’s Board of Governors held its third meeting of 2018 on July 18-19 in Washington, D.C., where it app …
