Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) wants investors to start 2016 on the right financial foot and is offering several suggestions to help investors step back and take stock – literally and figuratively – of their investment portfolios.
“The dawn of a new year is an ideal time to assess your progress toward your investment goals, and make adjustments as needed,” said
FINRA today released a year-end report on the FINRA Securities Helpline for Seniors 1-844-57-HELPS (1-844-574-3577), which has fielded more than 2,500 calls and helped investors recover nearly $750,000 in voluntary reimbursements from firms since its launch in April. The report highlights important lessons for investors gleaned from calls and lays out effective practices for firms to consider when working with senior investors.
FINRA announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to an array of mutual fund transactions including mutual fund switches. Additionally, the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million.
Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced it has censured and fined Macquarie Capital (USA) Inc. $2.95 million for failing to provide complete and accurate trade data in an automated format when requested by the Securities and Exchange Commission (SEC) and FINRA. Also, Macquarie must conduct a comprehensive review of its policies, systems and procedures
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
