Tag: FINRA
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings
The Financial Industry Regulatory Authority (FINRA) announced today it has fined Citigroup Global Markets Inc. (CGMI) $5.5 million and required the firm to pay...
FINRA Introduces New Functionality and Design to Fund Analyzer
The Financial Industry Regulatory Authority (FINRA) has introduced a new and improved Fund Analyzer tool to help investors and financial professionals understand the impact of fees...
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the...
FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Harvey
FINRA issued an Investor Alert today warning investors to beware of potential scams touting stocks and other investments promising huge financial gains in the...
FINRA Announces Governor Elections and Appointments
The Financial Industry Regulatory Authority (FINRA) announced today the election of Governors to its Board of Governors.
Stephen M. Cutler, Executive Vice President and Vice Chairman,...
FINRA, Bats, NASDAQ, and NYSE Fine Firms for Market Access Rule Violations
Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange...
FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and Records, and Related...
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade...