Financial Industry Regulatory Authority (FINRA)
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One hand washed the other - until now
Kudos to the SEC for signing off on a rule that should make it more difficult for brokers to erase customer complaints from their records in arbitration cases that are settled.
Giddy markets continue to look blissfully past mounting geopolitical unrest
Breakfast with Benjamin: Looking past all the geopolitical risk. Plus: U.S. investors finally start diversifying overseas, what's not to like about a marijuana ETF, how the Millennial generation slept through the bull market run, and a tribute to a fund industry critic.
Finra creates task force to determine arbitration improvements
Over the last several years, the Financial Industry Regulatory Authority Inc. has undertaken initiatives to reform the investor dispute resolution system it administers. Now it's looking for outside input.
Variable annuity sales raising concern: Finra official
Product remains at top of investor complaint list and the self-regulator wants to ensure investors understand what they're getting into.
Bonus disclosure deserves second look
Finra should seriously consider suggestions for changes to its proposed broker bonus disclosure rule.
Warning: This regulator eats what it kills
At Finra, fines are less than 10% of the annual budget but make no mistake, they are important, says Mark Elzweig.
Good work: Finra employees make double industry pay
The average compensation for Finra's 3,400 employees last year was nearly double that of the average worker on Wall Street. Bruce Kelly takes a look at the numbers. Plus: Finra trims operating loss but comp costs climb
Finra's broker bonus disclosure rule pulled
Finra has withdrawn its controversial proposal that would have required brokers to tell clients about recruitment incentives. The move took industry watchers by surprise; some expect the regulator to float a new proposal.
Industry preparing for an adviser SRO
Self-regulation is a hot topic at many conferences for investment advisers. Most often, sessions on the subject center on the question of whether the Securities and Exchange Commission should continue to provide direct regulatory oversight of advisers or if a self-regulatory organization (namely,
Finra fee hike not a terrible idea
There are few times in life — very few — when paying more for something is good. Paying a little extra for additional safety and security comes to mind.
Finra trims operating loss but compensation costs climb
Finra trimmed its operating loss last year, helped by a modest increase in revenue, but compensation and benefit costs continued to eat up a chunk of the SRO's funds. After eking out a slight net income gain, Finra set a rebate to member firms.
Small firms hustle for Finra board slot
Potential candidates for open seats battle voter apathy ahead of next month's annual meeting.
FSI gives revised Finra BrokerCheck link rule the thumbs down
In a new comment letter, the industry group contends that the rule would create undue regulatory costs.
SEC raises red flag over Finra enforcement referral rule
Citing concerns over investor protection, SEC commissioners will take up a Finra proposal that would allow arbitrators to alert Finra to broad investor threats during dispute hearings.
Finra's goal is to win back investors' trust: Ketchum
The following is an edited transcript of a speech given by Richard G. Ketchum, chairman and chief cxecutive of the Financial Industry Regulatory Authority Inc., at Finra's annual conference last Monday in Washington, D.C.
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