Legislation And Regulation

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  1. Articles

    LPL wants bigger voice in Washington

    The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.

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    Financial industry groups oppose adding exam scores to BrokerCheck

    Both SIFMA and FSI cautious about Finra proposal to strengthen its database.

  1. Articles

    Time to jump on the Yelp bandwagon? Not so fast!

    You'll need to calculate the risk before jumping on the Yelp bandwagon. For some firms, building out a Yelp marketing campaign will seem like a no-brainer. But for others, the downside may outweigh the upside. Kristen Luke weighs the pros and cons.

  2. Articles

    Finra sees uptick in arbitration cases filed in first quarter

    The number of arbitration cases brought before Finra was up 10% in the first quarter over a year ago and the proportion of cases resulting in damages being awarded was also up. At least one factor has emerged as the main culprit.

  3. Articles

    Deeper broker background checks are necessary

    Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information

  4. Articles

    SEC eyes new stock trade disclosure requirements

    Facing new pressure to overhaul trading after Michael Lewis's book "Flash Boys," the regulator may require brokers to reveal exactly where stock trades are executed. The change would limit deals brokers make with exchanges at the expense of investors' interests.

  5. Articles

    Brokerage industry sounds off about Finra broker compensation proposal

    Comment letters show independent B-Ds want no part of it, while wirehouses are all for it.

  6. Articles

    GAO cites SEC for cybersecurity lapses

    Weaknesses found in way agency authenticated users, authorized access and encrypted data.

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    Cybersecurity gets the SEC's attention as agency plans to query advisers on safeguards

    In risk alert, regulator provides advisers with a detailed checklist of what it expects firms to provide for cybersecurity protection.

  8. Articles

    Quantity does not equal quality: Expanding 'disclosure events' on BrokerCheck a bad idea

    Brokerage industry is only one in which professionals as deemed guilty until proven innocent.

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    Under Finra proposal, brokerages will be forced to conduct background checks on new brokers

    Regulator would also cross-check broker disclosures against public court documents.

  10. Articles

    Ketchum calls controversial automatic data collection key to catching rogue brokers

    Exclusive: Having pulled back efforts to become the regulator for advisers, Finra CEO Ketchum has plans to discuss BrokerCheck at this month's board meeting.

  11. Articles

    Brokers' test failures raise red flag

    Analysis finds brokers who fail basic securities exams have more dings on BrokerCheck.

  12. Articles

    Finra sends expungement rule to SEC; plaintiff's lawyer says won't have an impact

    If approved, rule would prohibit investor complaints from being contingent on clearing a broker's record.

  13. Articles

    Finra gets arbitration process back on track in Puerto Rico

    After several months of deliberations, Finra has expanded its pool of arbitrators and is ready to move forward with the hundreds of complaints related to collapses in Puerto Rico bond funds. That doesn't necessarily mean smooth sailing.