Financial Industry Regulatory Authority (FINRA)

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  1. Articles

    Deeper broker background checks are necessary

    Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information

  2. Articles

    Is Finra pulling its effortsto be the SRO for advisers?

    Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.

  1. Articles

    CARDS proposal poses challenges, unintended consequences

    Though well-intended, Finra's plan could come with new security concerns and costs

  2. Articles

    FSI opposes Finra proposal for automated account information collection

    CARDS would pose risks and challenges to its members, broker-dealer group contends.

  3. Articles

    DOL fiduciary opponents point to UK experience to bolster their case

    A ban on financial advisers' charging commissions in the United Kingdom has driven investors with small accounts out of the advice market, according to a mutual fund official in Europe, something that Department of Labor fiduciary opponents argue could happen here.

  4. Articles

    ICI pushes back on too-big-to-fail label for big fund firms

    Breakfast with Benjamin: ICI resists 'Too Big to Fail' label for fund firms plus Crimea chooses Mother Russia and what that means for the markets. And guess what, the Fed is out of ammo, Pimco spins the Mohamed El-Erian departure while Mr. El-Erian opens a Twitter account.

  5. Articles

    Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M

    Triad Advisors, Securities America failed to supervise reps who created and sent inaccurate consolidated account statements to clients, regulator says.

  6. Articles

    Investment adviser lobbyist: Finra will renew effort to become adviser SRO

    Regulator is 'playing the long game,' sees advisers as regulatory and revenue opportunity, IAA's Neil Simon says.

  7. Articles

    Finra's BrokerCheck comes under fire

    Database omits bankruptcies, tax liens, and other vital information, lawyers group claims

  8. Articles

    Finra arb panel sends reps a message

    Steep punitive damages awarded to a client show that reps will be forced to pay heavily for their misconduct

  9. Articles

    Finra fines Berthel Fisher $775,000 for compliance failures

    Regulator said IBD didn't adequately train or supervise brokers selling alternative investments and nontraditional ETFs .

  10. Articles

    Finra comes in from out of the cold

    The snowstorm that walloped most of the East Coast last week did not deter Finra's board from meeting in New York and moving on important investor issues.

  11. Articles

    Finra agrees to dump expungement agreements

    Rule change would stop brokers from placing conditions on settlements stipulating that customers agree not to oppose brokers' move to clear record.

  12. Articles

    Finra approves rule to redefine public arbitrators

    Regulator will send a proposal to the SEC that could limit those with industry ties from serving on panels.

  13. Articles

    Finra moves ahead with BrokerCheck, arbitration and expungement efforts

    At its board meeting, the regulator put out for public comment changes to how firms link to its BrokerCheck database. It also backed changes to how it defines arbitrators and moved to prohibit firms and brokers from putting conditions on settlements.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" good read

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