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Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that as part of its in-depth investigation of stock loan practices in the industry, it has imposed a fine of $1 million against Raymond James & Associates, Inc. of St. Petersburg, FL, and a fine of $400,000 against RBC Capital Markets Corporation of New York, for various stock loan improprieties.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has established a new Office of the Whistleblower to expedite the review of high-risk tips by FINRA senior staff and ensure a rapid response for tips believed to have merit.
Washington, DC - The Board of Governors of the Financial Industry Regulatory Authority (FINRA) today announced that Richard G. (Rick) Ketchum has been appointed FINRA's Chief Executive Officer.
Washington, DC. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Robert W. Baird & Co. $500,000 for supervisory violations relating to its fee-based brokerage business.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved an important change FINRA requested to its dispute resolution rules that will significantly reduce the frequency of motions to dismiss arbitration cases before investors have a chance to present their case.
Studies Advance Understanding of Financial Capability in the United States
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) recently announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer financial wellness and the complex relationships among financial
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $250,000 fine against J.P. Turner & Company, LLC of Atlanta, GA, for failing to have an adequate supervisory system designed to ensure that its registered representatives charged customers fair and reasonable commissions on stock trades.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) will launch a two-year pilot program later this fall that will allow some investors making arbitration claims to choose a panel made up of three public arbitrators instead of two public arbitrators and one non-public arbitrator, as is currently the norm.
(a) A member shall process and forward promptly all information as required by this Rule and applicable SEC rules regarding a security to the beneficial owner (or the beneficial owner's designated investment adviser) if the member carries the account in which the security is held for the beneficial owner and the security is registered in a name other than the name of the beneficial owner.
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Washington, DC — The Financial Industry Regulatory Authority (FINRA) today warned investors about the potential pitfalls of using 401(k) debit cards to borrow money from their retirement funds. The introduction of the 401(k) debit card has made borrowing from a retirement savings account as easy as swiping and spending - a tempting convenience that can have significant repercussions on the card