Financial Industry Regulatory Authority (FINRA)

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

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    Finra fines three firms for lapses on consolidated reports

    Processes must be in place to supervise the compilation of a client's entire financial life in one document.

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    March Mayhem Final Results

    The final round is over. Here are the results.Final Round 1 38%Bill Gross speaks out on Pimco exit vs. 2 62%Schorsch discloses serious accounting errors; CFO out

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    March Mayhem Results Round Four

    Round 4 is over. Please click here for Round 5 of March Mayhem!On the Move VS. News You Can Use 1 54%Bill Gross speaks out on Pimco exit vs. 2 46%Supreme Court suit to shake up retirement plan advisers Water Cooler VS. Breaking News 1 39%Morgan Stanley's Hunger Games-inspired video vs. 2

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    March Mayhem Round Five

    Vote on which story is bigger: Bill Gross discussing his Pimco departure, or Schorsch's American Realty Capital's accounting errors

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    March Mayhem: Round Four

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 3 is over. Click here for the results. For Round 4, place your votes by 4 p.m. Thursday.

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    March Mayhem Results Round Three

    Round 3 is over. Please click here for Round 4 of March Mayhem!On the Move 1 68%Bill Gross speaks out on Pimco exit vs. 2 32%Merrill asks $2.5 billion team to leave News You Can Use 4 26%Publication of Robin Williams' trusts highlights privacy concerns vs. 2 74%Supreme Court suit to shake up

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    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

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    March Mayhem: Round Two

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 1 is over. ...

  7. Articles

    March Mayhem: Round Three

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 2 is over. Click here for the results. For Round 3, place your votes by 4 p.m. Wednesday.

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    March Mayhem Monday results Round Two

    Round 2 is over. Please click here for Round 3 of March Mayhem!On the Move 1 83%Bill Gross speaks out on Pimco exit vs. 4 17%Robert Moore jumps ship at LPL 3 23%Morgan Stanley managers depart vs. 2 77%Merrill asks $2.5 billion team to leave News You Can Use 1 48%Social Security cost-of-living

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    March Mayhem Monday results

    Round 1 is over. Please click here for Round 2 of March Mayhem!On the Move 1 82%Bill Gross speaks out on Pimco exit vs. 8 18%$800 M Morgan team breaks away 4 56%Robert Moore jumps ship at LPL vs. 5 44%LPL's Derek Bruton resigns suddenly 3 74%Morgan Stanley managers depart vs. 6 26%Valerie Brown out

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    SIFMA criticizes White House for ignoring existing regulations while pushing for DOL fiduciary rule

    Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.

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    March Mayhem: What to do when your bracket is busted

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. For the first round,

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    SEC fiduciary push gives momentum to third-party exams

    SEC Chairwoman Mary Jo White jump-started a controversial move to expand the agency's coverage of registered investment advisers: farming out exams to the private sector.

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    How firms document risk management and suitability practices needs to change

    Advisers need scalable, standardized and easily supervised risk management systems in light of increased regulatory scrutiny