FINRA News
- FINRA Publishes 2022 Report on Exam and Risk Monitoring Program
Includes Initial Findings From Reg BI Exams; Highlights Emerging and Ongoing Regulatory Topics Washington, D.C. – FINRA today published its 2022 Report on FINRA’s Examination and Risk Monitoring Progr … - FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations
WASHINGTON—FINRA announced today that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek best execution for its customers’ orders. - FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process
WASHINGTON—FINRA announced today that it has hired the Lowenstein Sandler law firm to conduct an independent review of how FINRA Dispute Resolution Services (DRS) complied with its rules, policies and … - FINRA Issues Reminder About the Scope of Chief Compliance Officer Supervisory Liability
WASHINGTON—FINRA today issued a Regulatory Notice reminding member firms about the scope of broker-dealer chief compliance officer (CCO) supervisory liability under FINRA rules. - Report From FINRA Board of Governors Meeting – March 2022
Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler - FINRA Extended Hearing Panel Expels Alpine Securities; Orders Alpine to Pay $2.3 Million in Restitution to Customers
WASHINGTON – FINRA announced today that a FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer Alpine Securities Corp. from FINRA membership, and ordered the firm to pay more t … - FINRA Seeks Advisory Committee Members
Outreach Follows Recent Efforts to Expand Opportunities for Participation WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeho … - FINRA Publishes 2022 Industry Snapshot
SPACs, Margin Debt and CAT Among New Data Categories WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representativ … - FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000
WASHINGTON—FINRA announced today that it has fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding i … - Report From FINRA Board of Governors Meeting – May 2022
Board Approves Rulemaking Items and Annual Financial Report; Appoints New Members to Advisory Committees WASHINGTON—FINRA’s Board of Governors held its second meeting of the year on May 11-12 in Fort …