FINRA News
- Report from FINRA Board of Governors Meeting – February/March 2019
Board Approves Rule Proposals, Engages with Boca Raton-Area Firms - FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures
Firm Required to Retain an Independent Consultant WASHINGTON – FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and super … - FINRA Foundation Seeks Applicants for Military Spouse Fellowship
Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential WASHINGTON — Starting today, the FINRA Investor … - FINRA Working Paper: High Broker-Affiliated ATS Order Routing Associated with Lower Fill Rates, Higher Costs
WASHINGTON –Institutional orders routed by brokers that send a relatively high percentage of such orders through affiliated alternative trading systems (ATSs) tend to receive lower order fill rates an … - FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings Plan Violations
Fines to be Waived for Firms Notifying FINRA by April 1; Initiative Stresses Restitution and Rapid Remediation - Market Volatility Drives FINRA’s Volume to New Record in 2018
/*–>*/ /*–>*/ Daily Market Activity Soars 87 Percent to New Record 28 of the 30 Most-Active Dates in History Occur in 4Q 2018 New High of 135 Billion Records/Day Almost Quadruples 2017’s Daily … - FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter
WASHINGTON — FINRA today released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to re … - FINRA Fines Morgan Stanley $10 Million for AML Program and Supervisory Failures
WASHINGTON – FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $10 million for anti-money laundering (AML) program and supervisory failures that spanned a period of more than fiv … - FINRA Foundation Establishes Nation’s First-of-Its-Kind Grant Program to Help Public Libraries Aid Consumers Following Natural Disasters
Sixteen Libraries in Eight States Each Received $5,000 to Expand Personal Finance Collections and Educate Consumers About Financial Fraud WASHINGTON – This holiday season, the FINRA Foundation is givi … - Report from FINRA Board of Governors Meeting – December 2018
Board Approves Rule Proposals, Reviews 2019 Budget and Appoints New Public Governor WASHINGTON – FINRA’s Board of Governors met on Dec. 12-13 at FINRA’s offices in New York, where it approved two rule …