WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or accurately report certain large options positions and for related supervisory deficiencies.
News Releases & Statements
FINRA issued a new investor alert called FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where is the Money Coming From?
PIABA's study underlines and emphasizes serious concerns FINRA shares with respect to the expungement process.
Today, FINRA published a report on conflicts of interest in the broker-dealer industry to highlight effective conflicts management practices that may go beyond current regulatory requirements and identify potential problem areas.
FINRA issued a new investor alert called Stock Up on Information Before Buying Stock to caution investors to carefully research any investment before making a purchase.
The National Center for Victims of Crime and the FINRA Investor Education Foundation have released Taking Action: An Advocate's Guide to Assisting Victims of Financial Fraud to provide those who serve the more than 30 million Americans who are victims of financial fraud every year with an important new tool to aid their clients.
WASHINGTON — The Financial Industry Regulatory Authority ("FINRA") announced today that it has filed for a Temporary Cease-and-Desist Order against John Carris Investments, LLC (JCI) and its CEO, George Carris, to immediately halt solicitations of its customers to purchase Fibrocell Science, Inc. stock without making proper disclosures.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) issued a public statement, Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors approved a proposal requiring brokers to disclose recruitment compensation paid to them as an incentive to move to a new firm.
WASHINGTON—The FINRA Investor Education Foundation today issued a new research report—Financial Fraud and Fraud Susceptibility in the United States—which reveals that over 80 percent of respondents have been solicited to participate in potentially fraudulent schemes, and over 40 percent of those surveyed cannot identify some classic red flags of fraud.