| 12/9/2013 | MU | Finra fines Oppenheimer $675,000 for unfair municipal security prices
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| 6/4/2013 | BK | Finra orders Wells Fargo, BofA to pay fines, restitution for faulty floating-rate loan sales
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| 12/31/2012 | MU | Finra fines banks $4.48 million for lobbying fees reimbursed via municipal, state bond offerings
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| 10/11/2012 | CVHYIGMU | Finra seeks comment on debt research conflicts of interest proposal
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| 9/5/2012 | PPPV | Finra to begin requiring firms to file private placement term sheets
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| 9/5/2012 | CVHYIG | Finra could adjust caps in Trace reports, share Rule 144A trades
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| 7/10/2012 | SP | Finra warns investors about exchange-traded notes in new alert
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| 7/10/2012 | SP | Finra's alert on ETNs signals strong regulatory focus on those products, lawyers say
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| 7/3/2012 | SP | New Finra Rule 2210 to require filing of retail communications for structured securities
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| 2/21/2012 | SP | Finra's notice on complex products causes perplexity, sources say
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| 2/17/2012 | EMHYIGMU | Finra seeks comments on proposal about conflicts in debt research
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| 1/17/2012 | FDSP | Finra issues notice about heightened supervision of complex products
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| 7/25/2011 | BKHYSP | Finra warns investors about 'chasing return' through riskier products
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| 6/2/2011 | SP | SEC, Finra warn retail investors about notes with principal protection
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| 5/23/2011 | IGMUPF | Finra fines Nuveen $3 million for auction-rate preferreds marketing
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| 4/14/2011 | MU | Finra fines Jefferies for conflicts in sale of auction-rate securities
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| 3/11/2011 | CVEMHYIGMU | Finra seeks comment on debt research conflict-of-interest standards
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| 2/15/2011 | EM | Finra: UBS consents to findings, pays related fine over trader's loss
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| 2/15/2011 | PP | Finra: Bathgate consents to findings, pays fines over PIPE disclosure
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| 10/20/2010 | SP | Finra charges Ferris, Baker with wrongful sale of reverse convertibles
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| 10/20/2010 | SP | Finra issues notice about sales practice obligations for commodity futures-linked securities
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| 9/20/2010 | MU | Finra issues due diligence reminder to those selling munis in primary, secondary offerings
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| 4/20/2010 | PPPV | Finra warns dealers to properly investigate placements prior to sales
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| 3/5/2010 | AGCVDDHYIG | Finra gets SEC approval for public access to historic Trace data
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| 3/1/2010 | AGHYIG | Finra kicks off Trace coverage of agency debt, primary bond market
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| 2/23/2010 | SPSW | SPA, Morrison & Foerster analyze Finra's recent releases and action on reverse convertibles
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| 2/16/2010 | SPSW | Finra's first reverse convertible fine surprises industry, sources say
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| 2/16/2010 | SPSW | Finra fines H&R Block broker for unsuitable reverse convertible sales
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| 2/16/2010 | SPSW | Finra fines firm for oversight failure, issues reminder of reverse convertible sales requirements
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| 12/18/2009 | SP | Finra reminds firms of sales practice obligations for protected notes
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| 9/29/2009 | AG | Finra: Trace coverage of agency debt transactions moved to March 1
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| 9/29/2009 | AG | Finra to add Trace reporting for agencies in 2010; move will narrow bid-ask spreads, trader says
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| 6/30/2009 | MU | Finra conducts sweeps to examine retail sales practices in muni market
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| 3/18/2009 | BKCVDDEMHYIG | Finra proposes pilot program for margining CDS
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| 3/9/2009 | CVDDHYIG | Finra seeks expansion of Trace reporting to include primary market, agency- and GSE-issued bonds
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| 9/4/2008 | CVHYIG | Finra to add more information to real-time reporting on corporate bond transactions
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| 6/18/2008 | CVHYIG | Finra plans to add more detail to Trace reports
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