Financial Industry Regulatory Authority (FINRA)
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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 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