Financial Industry Regulatory Authority

2022 Regulatory Outlook: A Year of Big Developments?
Risk

2022 Regulatory Outlook: A Year of Big Developments?

Insider stock sales, individual culpability in corporate misconduct, and climate-related disclosures headline a potentially busy year.
By Matt Heller | January 25, 2022
Read More
Robinhood to Pay $70M to Settle FINRA Probe
Risk & Compliance

Robinhood to Pay $70M to Settle FINRA Probe

"The fine imposed in this matter, the highest ever levied by FINRA, reflects the scope and seriousness of Robinhood’s violations."
By Matthew Heller | June 30, 2021
Read More
SEC Approves New Markets Oversight System
Risk & Compliance

SEC Approves New Markets Oversight System

The consolidated audit trail will track the life cycle of every trade in the markets, accounting for billions of transactions, canceled orders and quotes.
By Matthew Heller | November 16, 2016
Read More
Oppenheimer Fined $3M Over ETF Sales
Risk & Compliance

Oppenheimer Fined $3M Over ETF Sales

FINRA says the money manager sold non-traditional exchange-traded funds to investors who weren't qualified to buy them.
By Matthew Heller | June 8, 2016
Read More
SEC Approves Program for Small-Cap Companies
Risk

SEC Approves Program for Small-Cap Companies

In the pilot program, the securities of some small-cap issuers will trade in increments of 5 cents per share.
By Katie Kuehner-Hebert | May 7, 2015
Read More
SEC Seeks to Rein in Off-Exchange Traders
Risk & Compliance

SEC Seeks to Rein in Off-Exchange Traders

The proposed change would enhance regulatory oversight of active proprietary trading firms, such as high-frequency traders.
By Katie Kuehner-Hebert | March 25, 2015
Read More
Securities-Backed Loans Draw FINRA’s Eye
Regulation

Securities-Backed Loans Draw FINRA’s Eye

Banks’ wealth-management divisions are underwriting loans collateralized by clients' growing securities portfolios.
By Katie Kuehner-Hebert | January 7, 2015
Read More
Citigroup Fined $15M Over Research Analysts’ Conflict
Risk Management

Citigroup Fined $15M Over Research Analysts’ Conflict

Citigroup Global Markets provided some investors with improper access to material, nonpublic information, says FINRA.
By Matthew Heller | November 25, 2014
Read More
Stock Exchanges on Track to Develop Audit Trail System
Risk & Compliance

Stock Exchanges on Track to Develop Audit Trail System

A consolidated audit trail of all stock and options trading activity was first proposed after the May 2010 Flash Crash.
By Matthew Heller | September 29, 2014
Read More