Financial Industry Regulatory Authority (FINRA)
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Prepping the advice business for cybersecurity laws, and vice versa
FSI sets sights on shaping any legislation dealing with data breaches and privacy to avoid 'one-size-fits-all.'
Regulators bare their teeth on excessive fees
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
Investor, consumer groups call on Finra to release more arbitration data
As task force reviews process, regulator pushed to fess up on selection of arbitrators, award collections and case statistics.
10 developments to watch in the independent broker-dealer industry in 2015
Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.LPL strapped with compliance chargesLPL Financial,
Finra hawks fiduciary in its regulatory priorities for 2015
Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.
SEC approves Finra background check rule
SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.
SIFMA says Sony hack is cautionary tale for CARDS
The recent cyberattack on Sony Pictures Entertainment holds lessons for Finra's pending data-collection proposal, SIFMA executive argues.
Finra bars broker for ripping off elderly client
Former Wells Fargo Advisors broker charged with stealing nearly $89,000 and using it for personal expenses.
Finra fines WFG Investments $700,000
Finra fines WFG Investments $700,000 for failing to supervise registered reps
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.
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