FINRA

FINRA expects broker-dealers to stick with their fair pricing obligations to their customers when conducting transactions in lower-priced or distressed securities. Merrill Lynch has run ...

FINRA Reminds Firms of Extended Hours Trading Disclosures

FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for ...

FINRA Announces Results of SFAB, NAC and District Committee Elections

A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled FINRA charges ...

The brokerage industry is fighting hard against a revised FINRA plan to collect data electronically that it now gathers during examinations (IA Watch, Nov. 5, ...

FINRA and the MSRB have released parallel rule proposals intended to make bond pricing clearer to retail investors. The rule would apply to corporate and ...

“Idea dinners” frequented by equity research analysts, institutional clients and sales and trading personnel have landed Citigroup Global Markets in hot water. FINRA has fined ...

If you supervise branch offices and want to be certain you’re doing it right, act like a FINRA examiner. The SRO’s interest in branch office ...

FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving