Financial Industry Regulatory Authority (FINRA)

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    SEC limits who qualifies as a public arbitrator

    The Securities and Exchange Commission has approved a Finra proposal that would restrict more individuals in securities disputes from serving as public arbitrators, including lawyers who represent plaintiffs.Under the rule, anyone who has worked in the financial industry at any point in his or her

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    Bill would end mandatory arbitration in brokerage contracts

    Legislation introduced Thursday would ban such requirements for investor claims.

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    Senior Republican on Senate Banking Committee presses Finra on CARDS

    Crapo tells Finra chief Ketchum system could jeopardize investor privacy, be used for government surveillance.

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    SEC's Michael Piwowar slams Finra data-collection proposal

    Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a "solution in search of a problem."

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    Brokers do a better job at cybersecurity than investment advisers: SEC

    Brokers do a better job at cybersecurity than investments adviser, according to the SEC.

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    Tittsworth exits IAA after waging battles on behalf of investment advisers

    After 18 years, David Tittsworth is leaving the Investment Adviser Association, a group he led during a period of expanding regulation.

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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.'

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    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.

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    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.

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    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,

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    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.

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    SEC approves Finra background check rule

    SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.

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    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.

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    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.

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    Finra fines WFG Investments $700,000

    Finra fines WFG Investments $700,000 for failing to supervise registered reps