FINRA Proposes Pay-to-Play Rules
FINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
Are Changes Coming to FINRA Exams?
At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
Investors Back More Broker Regulations: FINRA Survey
Nearly three-quarters of investors support more regulations to safeguard them from broker misconduct, an online survey from FINRA found.
Schorsch’s Own Cetera Halts Cole REIT Sales
ARCP accounting scandal "has tarnished the entire Schorsch brand," consultant Mark Elzweig says, and Cetera parent RCAP is trying to limit the damage.
FINRA Names Berry Head of Arbitration
FINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulator’s dispute resolution.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
TD Ameritrade Reports Record Earnings for 2014; Advisor Business ‘Firing on All Cylinders’
TD Ameritrade execs talk to ThinkAdvisor about their earnings, how the firm lures wirehouse brokers and what they think of Schwab's new robo-platform.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
FINRA said Monday that it had fined Merrill's clearing and BD arms for not ensuring that fail-to-deliver positions in short sales were properly closed out.