Financial Industry Regulatory Authority (FINRA)
Watch breaking news videos and read news updates about Financial Industry Regulatory Authority (FINRA) on investmentnews.com
After hearing from member firms, Finra considers revising communications, gift rules
Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.
Ketchum: What this industry is missing when it comes to CARDS
Finra chief Richard Ketchum says industry groups like SIFMA are overlooking the investor protection benefit of Finra's controversial data-collection proposal.
Key House Republicans bash SEC exam user fee idea
In a letter to SEC chairman Mary Jo White, two key House Republicans outline opposition to having RIA pay for SEC exams; tell her to reallocate resources to boost exam record
SIFMA invokes fear of cyberterrorists in plea to fold CARDS
Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal.
FSI warns of 'false positives' under CARDS
IBD organization expresses suitability concerns with regulator's proposed data-collection system and predicts cost of $250,000 to $1 million — with ongoing maintenance above that.
Citigroup fined $15 million for analyst supervisory failures
Failing to supervise research analysts and their handling of material non-public information at issue, Finra says.
Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud
Federal financial regulators collaborate on consumer website linking resources on advisers and investment products.
SEC keeps fiduciary promises vague for 2015
Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.
Client protection ruse needs to stop
Advisers should demand that industry organizations speaking for them don't let greed overshadow their true mission to help people live sound financial lives.
Finra expected to adopt CARDS despite vocal industry resistance
Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.
Brokers can complain to Finra about exams – anonymously
Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.
Finra survey shows investors want more regulatory protection
Investors want more regulatory protection and are willing to pay higher brokerage costs to get it, a new Finra survey shows.On Thursday, the Financial Industry Regulatory Authority Inc., the industry-funded broker-dealer regulator, released a study showing that 92% of investors say it's important
Finra names new head of arbitration
A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.
Firms pumping millions into their compliance departments to keep regulators at bay
Compliance specialists, like LPL's David Bergers, are being paid millions to help firms keep regulators at bay. But is the surge in investment in compliance worth it?
Finra's CARDS plan is likely to be a game changer
Along with helping identify trading abuses, system will help facilitate cost-benefit analyses
Connect with Us
Like our fan page to receive the latest news and opinion from InvestmentNews.
Subscribe to this RSS feed to receive the latest news and opinion from InvestmentNews.