Financial Industry Regulatory Authority (FINRA)

Watch breaking news videos and read news updates about Financial Industry Regulatory Authority (FINRA) on investmentnews.com

  1. Articles

    Firms pumping millions into their compliance departments to keep regulators at bay

    Compliance specialists, like LPL's David Bergers, are being paid millions to help firms keep regulators at bay. But is the surge in investment in compliance worth it?

  2. Articles

    Finra's CARDS plan is likely to be a game changer

    Along with helping identify trading abuses, system will help facilitate cost-benefit analyses

  1. Articles

    SEC approves rule change for greater transparency of nontraded REITs

    The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.

  2. Articles

    BrokerCheck needs a marketing effort

    It's time for Finra to get serious about making sure investors know BrokerCheck exists.

  3. Articles

    Finra's proposed nontraded REIT rule changes could have gone further

    Checks on sponsor companies and protection for investors and advisers is welcome, but statement reporting adds more confusion than clarity

  4. Articles

    Finra pushes ahead with controversial data collection program

    Industry groups organize to have a stronger voice in shaping the CARDS rule going forward.

  5. Articles

    WFG Investments facing $650,000 Finra 'global fine'

    Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme

  6. Articles

    Investors may resist quizzing brokers about compensation

    Investors may not have the courage to ask their brokers how big a bonus they’re receiving for switching firms, potentially undermining the effectiveness of a pending Finra rule proposal, according to experts.On Friday, the board of the Financial Industry Regulatory Authority Inc. authorized the

  7. Articles

    Finra puts onus on clients to find broker recruitment incentives

    New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.

  8. Articles

    Rule proposal for new hire background checks moving to SEC

    The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.

  9. Articles

    Finra plans to revive controversial broker compensation proposal

    The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

  10. Articles

    Foot-dragging on rules harms investors

    Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.

  11. Articles

    Big data: New technology comes to compliance

    Software companies offer products to help advisers meet intense regulatory demands.

  12. Articles

    Finra's head of arbitration to retire in November

    Linda Fienberg departs the regulator after putting in place several modifications to its dispute resolution forum over her 18-year tenure.

  13. Articles

    Finra tacks on more time to REIT pricing change

    Finra is continuing to tack on time to the widely anticipated rule change that would give investors a clearer picture of what it costs to buy shares of nontraded real estate investment trusts and other direct placement programs, an industry term widely used for private placements. The Financial