FINRA Goes for Round Two on Membership Rule Changes
FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.
Hurricane Sandy Spurs FINRA, SEC Actions
FINRA and the SEC have issued warnings and bulletins to help both advisors and the public better cope.
FINRA Fee Increases May Raise Sticker Price on Financial Advice
FINRA’s proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.
FSI to FINRA: This Is the Wrong Time for Higher Fees
Part of FSI’s engagement with FINRA is to let them know when they have gone too far. That is clearly the case with the substantial fee increases the organization has proposed for broker-dealers and financial advisors, increases that would hit small firms the hardest.