SEC Litigation Releases

FINRA Dispute Resolution Rule Filings

  • by SR-FINRA-2018-003
    Proposed Rule Filing Relating to Simplified Arbitration
  • 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 […]
  • by SR-FINRA-2017-025
    Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
  • by SR-FINRA-2017-009
    Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
  • by SR-FINRA-2016-033
    Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

SEC Administrative Proceeding Releases

  • Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed with the Commission
  • Order Establishing a Fair Fund
  • Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
  • Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
  • Order Directing Disbursement of Fair Fund

FINRA Investor Alert news feeds

  • by
    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.
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    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.
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    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 […]
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    Financial fraud routinely follows on the heels of disaster. Hurricanes and their aftermath are no exception. We are issuing this Alert to warn investors that investment scams may come your way touting stocks and other investments with the promise of huge gains in the wake of major hurricanes.
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    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 […]