Financial Industry Regulatory Authority (FINRA)
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Finra votes to bump arbitrators' pay by 50%
That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.
Finra booted 16 rogue brokers this year, targeted 26 more for 'action'
High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
Finra unveils new BrokerCheck
The Financial Industry Regulatory Authority Inc. on Tuesday officially unveiled its new, streamlined version of BrokerCheck, the database that keeps track of the work history and disciplinary records of current and former registered reps and member broker-dealers.
Seinfeld star's adviser Bambi Holzer sued by Finra over Provident deals
Adviser to the stars Bambi Holzer is facing the wrath of regulators for allegedly lying to one of her former firms when she sold preferred shares of Provident Royalties in 2008. Her BrokerCheck report is one for the ages.
Finra urges brokers to adopt a 'best interests' standard
Finra moving inexorably in the direction of emphasizing a fiduciarylike standard.'
Advisers must defend online reputation before it's too late
One black mark can cause problems, so lay the foundation now All around the advisory industry, compliance departments are starting to relax restrictions on financial advisers' use of online marketing strategies, especially in social media. As a result, more and more advisers are embracing online
Finra nudging brokers toward a fiduciary standard?
Finra's report on how to avoid conflicts of interest seems to be pushing brokers toward the fiduciary standard already used by investment advisers. How far can it go?
Finra's amended Rule 8210: Where does it end?
B-Ds and reps need to understand the implications of the regulator's document request changes.
Eyeing whether E&O should cover arb awards
State regulators want to ensure that brokers pay arbitration awards to harmed investors, but question how.
Face it: Americans resent how well industry is paid
The financial services business is out of touch regarding the sensitive issue of compensation even as the American public remains angry at Wall Street bankers for the credit crisis. Bruce Kelly explains.
Advisers calm clients about shutdown threat
The psychological impact of a potential U.S. government shutdown on already skittish investors is a much greater concern to financial advisers than any actual economic impact.
B-Ds break social-media habits
Advisers at brokerage firms could be gaining ground on registered investment advisers in the social-media race as technology improves and compliance fears ease.
Finra OKs plan on incentive pay
The Financial Industry Regulatory Authority Inc.'s board has approved a controversial proposal that would require brokers to disclose the amount of incentive pay that they received to switch firms.
Finra warns investors on private placements
Finra issued a new investor alert in the lead-up to lifting the general-solicitation ban on private-placement investments.
Citigroup to pay arb award over soured real estate
Citigroup Global Markets Inc. last Monday was hit with a hefty $3.1 million arbitration award after two investors claimed that their broker directed them into real estate developments that went bad.
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Blaine Aikin CEO, fi360
Timothy Welsh, CFP President and Founder, Nexus Strategy, LLC
Justin Wisz Co-Founder & CEO, Vestorly