FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker Arb Lessons From Animal House and Brian Hamburger
By Bob ClarkA reader questions my objectivity on broker-dealers and FINRA arbitration. I respond, then get Brian Hamburger to weigh in.
February 08, 2016
FINRA: Broker Lied to Native American Tribe About Nontraded REIT CommissionsThe broker didn't tell the tribe he personally made $9.6 million in commissions for REIT and BDC recommendations, FINRA says.
February 01, 2016
Is FINRA the Fox Guarding the Henhouse?As Ive written before, I have a grudging respect for the securities industry and its self-regulatory organization, FINRA: If he were alive today, Lex Luthor couldn't do it any better.
January 15, 2016
SEC, FINRA Enforcement: State Street to Pay $12M Over Pay-to-Play ViolationsThe SEC also charged 11 former executives and board members of a now-defunct bank with fraud for hiding loan losses during the financial crisis.
January 11, 2016
FINRA's top exam priorities for 2016FINRA CEO Richard Ketchum says that one of the top goals for the year is managing brokers' conflicts of interest.
January 08, 2016
CFP Board Disciplinary Roundup: 2015In one action, the CFP Board suspended an advisor barred by FINRA for converting funds from a customers estate and trust.
January 05, 2016
FINRA’s Top Exam Priorities for 2016FINRA CEO Richard Ketchum tells ThinkAdvisor that one of the top priorities for the year is managing brokers' conflicts of interest.
January 04, 2016
Michael Oxley, Co-Author of Sarbanes-Oxley, DiesWhen ThinkAdvisor spoke with Oxley in 2011, he had not yet started lobbying Congress on the SRO issue.