FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
FINRA's board on Thursday approved three rule proposals — including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
Upcoming Bills Aim to Make Retirement Planning Easier, More Transparent
Legislation in the works this year may help retirees to better plan for prosperity in their golden years.
FINRA to Reconsider BrokerCheck Web Link Plan
FINRA board also plans to consider next week definitions of “nonpublic” and “public” arbitrators as well as an expungement rule.
Tibergien: Time to Move Beyond ‘Serving Dead and Dying’
Mark Tibergien has a tongue-in-cheek warning to BDs on looking toward the future.
‘Improving’ FINRA Among Top Goals for BD Lobby
FSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
FSI Celebrates 10th Anniversary ‘Where the Action Is’
Business consultant John Spence kicked off FSI OneVoice with a blizzard of advice for the nearly 800 IBD attendees.
With 10 Years’ Experience, FSI Flexes Its Advocacy Muscles
FSI marks its 10th anniversary with more individual members and with greater influence in Washington and the states, says its leader, Dale Brown.
FINRA’s Hot-Button Exam Issues for 2014
In its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
Geneos Wealth Names Third-Generation Diachok as President
Ryan Diachok will become president of the IBD while his uncle Russ Diachok remains CEO.
How to Juggle Life as Advisor and Politician
After news that a Morgan Stanley advisor won a FINRA arbitration award tied to political work, a Raymond James advisor discusses how she tackles both roles.