News: Richard G. Ketchum, FINRA Chairman And Chief Executive Officer, FINRA Annual Conference, Washington, DC, Tuesday, May 21, 2013 - Addressing The Crisis Of Confidence In The Markets

18 hours ago - News Articles

Thank you Cathy [Mattax] for that introduction. It's good to be back with you again today. The financial services industry has weathered many challenges in the last few years&...

News: LPL To Pay $9 Million For Systemic Email Failures And For Making Misstatements To FINRA - LPL Fined $7.5 Million And Ordered To Establish $1.5 Million Fund To Compensate Affected Customers

22 hours ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that it fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, whic...

News: NASDAQ OMX And Smarsh Establish Partnership To Deliver Deeper Compliance Risk Capabilities

2 days ago - News Articles

Smarsh®, the leading provider of hosted archiving and compliance solutions for email and electronic communications, announced today at FINRA's 2013 Annual Conference a new...

Blog: Equities Transaction Reporting: 10 Seconds

Tales from a Trading Desk 6 days ago

News: FINRA, SEC Issue Investor Alert on Pension or Settlement Income Streams

13 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) today issued an investor alert entitled Pension or Settlement Income Strea...

News: SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams

13 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today...

News: The Need For Robust SEC Oversight Of SROs By SEC Commissioner Luis A. Aguilar

13 days ago - News Articles

Disclaimer1 The staff of the U.S. Securities and Exchange Commission (“Commission” or “SEC”) is planning to hold an SRO Outreach Conference (the &ldquo...

News: FINRA Fines Three Firms $900,000 For Inadequate Anti-Money Laundering Programs - Four Firm Executives Fined And Suspended

14 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-mone...

News: FINRA Fines Three Firms $900,000 For Inadequate Anti-Money Laundering Programs - Four Firm Executives Fined And Suspended

14 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-mone...

News: Carlo Di Florio Named FINRA's New Executive Vice President, Risk And Strategy

20 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that Carlo V. di Florio, currently Director of the SEC's Office of Compliance Inspections and Examinations ...