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.
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014
FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
Senators Prod FINRA for Broker Arb Expungement Data
FINRA CEO Richard Ketchum has until Jan. 6 to tell senators how FINRA plans to address findings that it granted nearly all expungement requests.
FINRA Creates Investor Issues Committee
The committee will advise senior FINRA staffers on proposed rulemaking and policy initiatives. Barbara Roper is one member.
FINRA to Sharpen High Risk Broker, BrokerCheck Programs
Sen. Edward Markey told FINRA's Ketchum that expanding the High Risk Broker initiative and establishing a dedicated enforcement team are “important initial steps.”
FINRA Broker Bonus Plan Would Be ‘Nonevent’ for Many Reps: Henschen
The regulator raised the threshold for the disclosure requirement, which BD recruiter Jon Henschen called a "positive" move.
FINRA Revives Broker Bonus Disclosure Plan
A revised plan to require that brokers’ recruitment compensation be disclosed when they switch firms will be considered at FINRA's Sept. 19 board meeting.
Several notable compliance-related measures have been approved—or tabled—by the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors’ and brokers’ radar.
Broker Bonus Plan: Death by Delay?
FINRA’s decision to postpone considering a rule to require that brokers’ recruitment bonuses be disclosed when they switch firms has one industry attorney speculating the rule may be on the chopping block.
SEC, FINRA, State Exam Execs Lay Out Priorities
Priorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.