Financial Industry Regulatory Authority (FINRA)
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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.
Finra's BrokerCheck comes under fire
Database omits bankruptcies, tax liens, and other vital information, lawyers group claims
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
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 .
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.
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.
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.
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.
Finra seeks to beef up use of BrokerCheck
Revives proposal that would require brokerages to link to regulator's database, including disciplinary background info.
Finra to examine broker-dealers for cybersecurity threats
Taking a lead from the SEC, the regulator seeks to understand dangers that lurk online. (Don't miss: Which firms are most at risk for cyberattacks?)
Reps react to Finra's proposed rule changes on nontraded REIT costs
Some optimistic, others skeptical about plan to scrap the automatic per-share value of $10.
Regulators train a close eye on alternatives
The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities
Individual advisers can be liable for money laundering, Finra warns
In some cases, the failure to supervise rests with the adviser, not the firm, senior director says.
Finra cautions investors to be careful with IRA rollovers, notes that adviser fees can hurt returns
Finra cautioned investors Thursday that they may face increased fees and expenses when they transfer retirement savings from a company plan to an individual retirement account. In an investor alert , the Financial Industry Regulatory Authority Inc. debunked claims that IRA rollovers can be
Careful: Corporate credit card charges can kill a career
Finra seeking to bar advisers even in small expense account error cases. Check out these 8 expense account blunders — from the wacky to the mundane
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February 27, 2014