FINRA

It was the very first priority revealed in FINRA’s exam priorities letter released at the start of the year—devoting attention to firms’ hiring and monitoring ...

Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...

Remarks at IRI Government, Legal and Regulatory Conference

Protecting Investors From Bad Actors

The “Ask FINRA Senior Staff” panel concluded the SRO’s annual conference again this year, giving firms the rare opportunity to put the regulator in the ...

Ongoing reviews of FINRA’s examination and enforcement programs are part of an over-arching “top-to-bottom” review of the SRO’s organization-wide operations currently underway, which are already ...

FINRA wants to hear from the industry on its current rules governing outside business activities and private securities transactions. The effort is part of the ...

Remarks From the 2017 FINRA Annual Conference

Despite a crackdown in recent years, brokers with disciplinary histories – and the firms that employ them – have continued to frustrate the long arm ...

If you see something, say something. That’s the message from Cam Funkhouser, executive VP of FINRA’s Office of Fraud Detection and Market Intelligence, who would ...