Financial Industry Regulatory Authority (FINRA)

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  1. Articles

    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.

  2. Articles

    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.

  1. Articles

    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.

  2. Articles

    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.

  3. Articles

    Bonus disclosure deserves second look

    Finra should seriously consider suggestions for changes to its proposed broker bonus disclosure rule.

  4. Articles

    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.

  5. Articles

    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

  6. Articles

    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    Finra has withdrawn its controversial proposal that would have required brokers to tell clients about recruitment incentives.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.

  7. Articles

    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,

  8. Articles

    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.

  9. Articles

    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.

  10. Articles

    Small firms hustle for Finra board slot

    Potential candidates for open seats battle voter apathy ahead of next month's annual meeting.

  11. Articles

    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.

  12. Articles

    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.

  13. Articles

    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.