WASHINGTON - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) announced today that they are working together to assist incoming NFL players spot and avoid investment fraud and begin their playing experiences by making informed financial decisions.
News Releases & Statements
FINRA today issued a new Investor Alert called Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses.
WASHINGTON-The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.2 million in grants to 16 recipients as part of the Smart investing@your library® initiative.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances.
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced that Gregory J. Fleming, President of Morgan Stanley Smith Barney and President of Morgan Stanley Investment Management, was elected as a Large Firm Governor on FINRA's Board of Governors. Mr. Fleming fills the seat vacated by Sallie L. Krawcheck, former President of Global Wealth & Investment Management, Bank of America.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS).
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation today released Weathering Tough Economic Times-12 Tips for 2012
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has taken important actions to protect investors from fraudulent schemes, products and practices, and to bring new levels of transparency to financial markets.