Financial Industry Regulatory Authority (FINRA)
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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
SEC approves rule change for greater transparency of nontraded REITs
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
BrokerCheck needs a marketing effort
It's time for Finra to get serious about making sure investors know BrokerCheck exists.
Finra's proposed nontraded REIT rule changes could have gone further
Checks on sponsor companies and protection for investors and advisers is welcome, but statement reporting adds more confusion than clarity
Finra pushes ahead with controversial data collection program
Industry groups organize to have a stronger voice in shaping the CARDS rule going forward.
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 resist quizzing brokers about compensation Finra proposal bashed as an 'envelope-stuffer' Sep 22, 2014 @ 12:35 pm By Mark Schoeff Jr. + Zoom Investors may not have the courage to ask their brokers how big a bonus they're receiving for switching firms, potentially undermining the