SEC Litigation Releases

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FINRA Dispute Resolution Rule Filings

  • SR-FINRA-2018-003
    by SR-FINRA-2018-003
    Proposed Rule Filing Relating to Simplified Arbitration
  • SR-FINRA-2018-012
    by SR-FINRA-2018-012
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry […]
  • SR-FINRA-2017-025
    by SR-FINRA-2017-025
    Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
  • SR-FINRA-2017-009
    by SR-FINRA-2017-009
    Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
  • SR-FINRA-2016-033
    by SR-FINRA-2016-033
    Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

CFTC Enforcement Press Releases

SEC Administrative Proceeding Releases

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FINRA Investor Alert news feeds

  • Following the Crowd: Investing and Social Media
    No matter where you get your trading insights, and whether you are following a recommendation to buy stocks, bonds, options or something else, know this: where there is opportunity, there is also risk. Here are 10 tips.
  • Stock Up on Information Before Buying Stock
    If you view market volatility as an opportunity to purchase more stock at a favorable price, make sure you look beyond the ticker symbol to confirm you are buying the right company. Many companies have similar names.
  • It Pays to Pay Attention to Your Brokerage Account Statements
    One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to review online or paper account statements and trade confirmations on a regular basis. You should review your statement as soon as you receive it to confirm it correctly reflects your […]
  • Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media
    FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in […]
  • Initial Coin Offerings (ICOs)—What to Know Now and Time-Tested Tips for Investors
    FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well as risks that are different from more conventional assets like stocks or bonds.