For Release: Wednesday, August 3, 2016 Contact(s): Ray Pellecchia (212) 858-4387 Nancy Condon (202) 728-8379 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures. FINRA rules require firms to transmit to OATS…

FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to Prevent Theft of $1.3 Million From Elderly Customer’s Variable Annuity Account For Release:  Tuesday, July 19, 2016 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Prudential Annuities Distributors, Inc. $950,000 for failing to detect and prevent a scheme that…

Americans’ Financial Capability Growing Stronger, but Not for All Groups: FINRA Foundation Study For Release:  Tuesday, July 12, 2016 Contact(s):  Angelita Plemmer Williams  (202) 728-8988 WASHINGTON — While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics, and those lacking a…

News Release FINRA Fines Deutsche Bank Securities Inc. $6 Million for Submitting Inaccurate and Late Blue Sheet Data For Release: Wednesday, June 29, 2016 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to…

On December 2, 2015, there was a terrorist attack in San Bernardino, California where 14 people were killed and 22 people were seriously injured.  On December 3, 2015, the FBI opened a counter-terrorism investigation.  On December 6, 2015, President Barack Obama defined the shooting as an act of terrorism. Fast forward to Tuesday February 16,…

This article is reposted from a FINRA and SEC Investor Alert.  A summary can be found here. Securities-Backed Lines of Credit – It May Pay to See Beyond the Pitch An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors. SBLOCs can be a key revenue source…

Testimony Before the Subcommittee on Securities, Insurance, and Investment Stephen Luparello Vice Chairman DECEMBER 14, 2011 December 14, 2011 Chairman Reed, Ranking Member Crapo and Members of the Subcommittee: I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the…

Remarks From Baruch College’s Financial Markets Conference Thomas Gira Executive Vice President, Market Regulation New York, NY NOVEMBER 11, 2015 Good morning. It’s a pleasure to be here. Let me thank Bob Schwartz, first, for the invitation to talk with you this morning, and second, for his tireless work to foster a greater understanding of…

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