- FINRA Statement on Temporary Withdrawal of Specialized Arbitrator Roster Rule Filing
Following consultations with the SEC staff, we temporarily withdrew from SEC consideration our rule filing establishing specialized arbitration panels for expungement requests so that we can further c … - FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $8.4 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
WASHINGTON—FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $8.4 million in restitution to more than 3,000 customers who incurred potentially … - FINRA, SEC and NASAA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
Regulators Providing Free Training in Recognition of World Elder Abuse Awareness Day; Program Aims to Assist Firms in Implementing Requirements of Senior Safe Act WASHINGTON—In recognition of World El … - FINRA Orders Record Financial Penalties Against Robinhood Financial LLC
Firm Ordered to Pay Approximately $70 Million for Systemic Supervisory Failures and Significant Harm Suffered by Millions of Customers WASHINGTON—FINRA announced today that it has fined Robinhood Fina … - FINRA Launches Educational Initiative Aimed at Newer Investors
FINRA and FINRA Foundation Issue Special Notice Soliciting Comment on Ways to Reach and Educate Novice Investors WASHINGTON—FINRA today announced it has launched a multi-year, multi-faceted $30 millio … - FINRA Board of Governors Appoints Sam Deshpande as Newest Governor
WASHINGTON – The FINRA Board of Governors has appointed Sam Deshpande as a new public Governor. Deshpande is Chief Information Officer for Humana, a U.S. health insurance company. His term on the FINR … - New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry
FINRA Requests Comments on Report WASHINGTON—A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and securi … - FINRA Announces Governor Elections and Appointments
WASHINGTON – FINRA announced today the election or appointment of five industry members to its 22-member Board of Governors. Seven of the 10 industry seats on FINRA’s Board are decided via election, a … - FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
WASHINGTON—FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who curre … - SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
WASHINGTON—The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and FINRA today announced …
