Financial Industry Regulatory Authority (FINRA)

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  1. Articles

    Finra proposes CARDS rule, marking next step in long journey of controversial program

    Regulator's executive also discusses plans for broker bonus rule and IRA rollover allowances.

  2. 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

  1. 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

  2. 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.

  3. 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.

  4. 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.

  5. 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.

  6. Articles

    Big data: New technology comes to compliance

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

  7. 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.

  8. 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

  9. Articles

    Finra delays decision on public arbitrators

    Delay means the SEC will not act until at least this fall on a Finra proposal that would limit the number of people who qualify as public arbitrators to settle investor disputes.

  10. 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.

  11. 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.

  12. 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.

  13. 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.