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.
FINRA Levied $60M in Fines in 2013
In FINRA's annual report, CEO Richard Ketchum also says that FINRA is pressing forward with its controversial CARDS data collection plan.
SEC's Gallagher: Fiduciary Debate Is Unfair
Daniel Gallagher, one of the Securities and Exchange Commission's two Republican commissioners, has been very vocal as of late regarding his belief that the agency doesn't need to write a rule to put brokers under a fiduciary mandate.
Gallagher: SEC Fiduciary Rule Won’t ‘Stave Off’ DOL Redraft
“Folks have … said do a rulemaking because it will stave off Labor. I don’t like rulemaking to stave off other people,” says SEC's Gallagher.
Fiduciary Will Stay on SEC Agenda ‘Until It’s Solved’
But “being on the agenda and getting it done are two different things,” says SEC’s trading and markets director, Steve Luparello.