Market volatility generated an exceptional amount of processing volume for the Financial Industry Regulatory Authority (FINRA) in 2018 – 66.7…
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Tag: FINRA
Morgan Stanley fined $10m for AML program
FINRA, a not-for-profit organization dedicated to investor protection and market integrity, has announced that it has fined Morgan Stanley Smith…
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Merrill Lynch fined $6m for selling Facebook, General Motors, LinkedIn IPOs to industry insiders
FINRA has informed the public that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. for improperly selling shares…
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UBS fined $15m over deficiencies in anti-money laundering programs
UBS (NYSE:UBS) has agreed to pay $15 million total fine to FINRA, SEC and FinCEN. The financial services company failed to…
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FINRA takes its first-ever disciplinary action involving cryptocurrencies
FINRA has just announced that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities…
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FINRA releases report on the rise of RegTech
FINRA has released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and…
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FINRA requests comment on fintech innovation in the broker-dealer industry
FINRA has issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its…
Read MoreFINRA handles record volume of market activity through 1H 2018
The Financial Industry Regulatory Authority (FINRA) has informed the public that it has processed an unprecedented amount of market activity…
Read MoreFINRA launches enhanced public records review
FINRA has announced that it is launching an enhanced disclosure review process for public financial records of individuals seeking registration…
Read MoreSecurities America Financial Corporation’s Jim Nagengast elected to FINRA Board of Governors
Nagengast elected to fill one of three large-firm seats on FINRA Board FINRA has announced the results of voting by…
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