Financial Industry Regulatory Authority (FINRA)
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Finra proposes CARDS rule, marking next step in long journey of controversial program
Regulator's executive also discusses plans for broker bonus rule and IRA rollover allowances.
WFG Investments facing $650,000 Finra 'global fine'
Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme
Investors may resist quizzing brokers about compensation
Investors may not have the courage to ask their brokers how big a bonus they’re receiving for switching firms, potentially undermining the effectiveness of a pending Finra rule proposal, according to experts.On Friday, the board of the Financial Industry Regulatory Authority Inc. authorized the
Finra puts onus on clients to find broker recruitment incentives
New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.
Rule proposal for new hire background checks moving to SEC
The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.
Finra plans to revive controversial broker compensation proposal
The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.
Foot-dragging on rules harms investors
Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.
Big data: New technology comes to compliance
Software companies offer products to help advisers meet intense regulatory demands.
Finra's head of arbitration to retire in November
Linda Fienberg departs the regulator after putting in place several modifications to its dispute resolution forum over her 18-year tenure.
Finra tacks on more time to REIT pricing change
Finra is continuing to tack on time to the widely anticipated rule change that would give investors a clearer picture of what it costs to buy shares of nontraded real estate investment trusts and other direct placement programs, an industry term widely used for private placements. The Financial
Finra delays decision on public arbitrators
Delay means the SEC will not act until at least this fall on a Finra proposal that would limit the number of people who qualify as public arbitrators to settle investor disputes.
One hand washed the other - until now
Kudos to the SEC for signing off on a rule that should make it more difficult for brokers to erase customer complaints from their records in arbitration cases that are settled.
Giddy markets continue to look blissfully past mounting geopolitical unrest
Breakfast with Benjamin: Looking past all the geopolitical risk. Plus: U.S. investors finally start diversifying overseas, what's not to like about a marijuana ETF, how the Millennial generation slept through the bull market run, and a tribute to a fund industry critic.
Finra creates task force to determine arbitration improvements
Over the last several years, the Financial Industry Regulatory Authority Inc. has undertaken initiatives to reform the investor dispute resolution system it administers. Now it's looking for outside input.
Variable annuity sales raising concern: Finra official
Product remains at top of investor complaint list and the self-regulator wants to ensure investors understand what they're getting into.