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Browsing Hashtag: #FINRA

Compliance Concepts

FINRA's High-Risk Registered Rep Program

January 10, 2018

Hirings/Transitions

FINRA Job Postings as of January 10

January 10, 2018

Hirings/Transitions

New FINRA Job Openings - January 3

January 3, 2018

Regulatory Sanctions

Raymond James Pays Big for its Long-Term Email Supervision Failures

December 21, 2017

Hirings/Transitions

FINRA Job Postings as of December 20

December 20, 2017

Regulatory Sanctions

Merrill Lynch Fined $1.4Mn Over ‘Extended Settlement’ Transaction Violations

December 19, 2017

Regulatory Sanctions

Brokers 'Crossing the Line' on Discretionary Authority

December 19, 2017

Regulatory Sanctions

Lure of Leveraged Exchange Traded Notes Tripped Up Young Broker

December 18, 2017

Regulatory Sanctions

‘Willful’ Failure to Update Form U4 - FINRA Sanctions for November and December

December 18, 2017

Regulatory Sanctions

Failure to Update Form U4: Pitfalls When FINRA Labels it ‘Willful’

December 18, 2017

Regulatory Sanctions

FINRA Publishes Disciplinary Actions for December 2017

December 15, 2017

People

FINRA Election Results and Appointments

December 15, 2017

Regulatory Sanctions

Good Execution Falls Short When 'Best Execution' is Required

December 14, 2017

Regulatory Sanctions

A Broker Trips Up on His False Statements

December 14, 2017

Regulatory Sanctions

Falsified Consolidated Reports Result in Frauds Against Clients

December 13, 2017

Hirings/Transitions

FINRA Job Postings as of 12/13

December 13, 2017

Regulatory Sanctions

Beverly Hills Broker-Dealer Fined $250K Following Years of Lax Oversight – Part Two

December 12, 2017

Regulatory Sanctions

Beverly Hills Broker-Dealer Fined $250K Following Years of Lax Oversight – Part One

December 11, 2017

Regulatory Sanctions

Trading Desk Assignments at Wedbush Violated Regulation SHO

December 11, 2017

Regulatory Sanctions

A Call to Arms: CCO Appeals FINRA's Email Supervision Charges

December 8, 2017

Regulatory Sanctions

Suitable Yesterday, But Unsuitable Today

December 7, 2017

Compliance Concepts

Report on FINRA Examination Findings

December 6, 2017

Regulatory Sanctions

The Art of Short-Term Trading of UITs

December 6, 2017

Hirings/Transitions

FINRA Job Postings as of December 6

December 6, 2017

Regulatory Sanctions

A Broker Ran ‘Out of Lives’ at His Broker-Dealer

December 6, 2017

Regulatory Sanctions

Broker Flagged for Exercising Unauthorized Discretion – A ‘Matter of Timing’

December 5, 2017

Regulatory Sanctions

Broker Barred Over Non-Traditional ETFs – His Firm Gets Off Scot-Free

December 5, 2017

Regulatory Sanctions

FINRA ‘Mutual Fund Waiver Sweep’ – Part 3

December 5, 2017

Regulatory Sanctions

FINRA ‘Mutual Fund Waiver Sweep’ – Part 2

December 4, 2017

Regulatory Sanctions

FINRA ‘Mutual Fund Waiver Sweep’ – Part 1

December 4, 2017

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