Financial Industry Regulatory Authority (FINRA)

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  1. Articles

    SIFMA's advice to DOL on the fiduciary rule: Start over

    Industry heavyweight argues the proposal would limit access to investment advice.

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    Finra brands DOL fiduciary rule misguided, confusing

    The proposal to reduce conflicts of interest for brokers working with retirement accounts would create overlapping regulations that would baffle advisers and investors, regulator says.

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    Plucky candidates seek Finra board seats

    Three contenders had to work way onto ballot, want reform in exams and arbitration

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    Finra board candidate claims examiners are out of touch

    Finra examiners should adhere to a code of conduct when reviewing member firms, Stephen Kohn, a candidate for the SRO's small-firm board seat, asserts. (Don't miss: How to make Finra work: Kovack)

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    Wells Fargo, Raymond James, LPL to repay investors more than $30 million for mutual fund overcharges

    Finra says Wells Fargo, Raymond James and LPL self-reported their failures to waive sales loads for Class A shares for retirement accounts and charities.

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    Finra board candidate wants to keep organization from 'antagonizing' members

    A candidate for Finra's board of governors has launched what he calls a “dissident campaign,” asserting he will try to prevent the regulator from “antagonizing” members, especially independent broker-dealers.

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    State regulators work on uniform approach to elder financial abuse

    New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.

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    Finra income soars due to increased fines, rising regulatory fees

    A combination of increased revenue, including a doubling of money raised through fines, and lower expenses helped Finra significantly increase net income last year.

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    Perez calls out variable annuities in argument for DOL fiduciary rule

    Using an anecdote critical of VAs, Thomas Perez says most people are better served by simple investments.

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    House panel seeks to freeze SEC budget

    Subcommittee set to vote on funding as adviser group hits Capitol Hill to lobby for more

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    DOL fiduciary proposal feels heat as more industry players pile on

    Great-West CEO Reynolds, Chamber of Commerce warn rule will hurt investors, advisers.

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    State officials to flag brokers with disciplinary history selling insurance

    The National Association of Insurance Commissioners to launch program to inform state insurance officials about agents in their state who have a disciplinary history with Finra.

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    Finra wants to allow online CE training

    Brokers would be able to conduct continuing education online rather than having to go to a test center.

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    SIFMA proposes own standard for brokers to act in clients' best interests

    Proposal means to counter DOL fiduciary duty with an amended suitability standard.

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    Finra launches ad campaign for BrokerCheck

    Critics say promoting database is worthwhile, but that it doesn't have enough information for investors.