FINRA Arbitration Data Under Fire Again
Public interest groups prod FINRA's Arbitration Task Force to push for more transparency.
New Hire Roundup: Morningstar Shuffles Leadership
Meanwhile, the SEC has appointed a new equity market structure committee, which includes FINRA CEO Richard Ketchum.
FINRA’s Top Exam Priorities for 2015
FINRA calls BDs’ failure to put clients first a “recurring challenge” in its 2015 priorities report.
FINRA Assumes Regulatory, Insider Trading Role for Options
Deal announced with CBOE and C2 Options exchanges will allow regulator to conduct cross-market surveillance on both options and equity insider trading.
Are Changes Coming to FINRA Exams?
At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
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.
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study
"Diverse groups of people make better decisions," the investor lawyers' group says.
FINRA Arbitration Head Fienberg to Step Down
Linda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
FINRA Appoints Arbitration Task Force
FINRA appointed a 13-member arbitration task force Thursday to consider possible enhancements to its arbitration forum.
What FINRA’s Top Execs Earn: ‘Living Large’
Last year was a solid one for FINRA — and the top executives’ pay packages weren’t too shabby, either.