FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Proposes Pay-to-Play Rules
By Melanie WaddellFINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
October 30, 2014
FINRA Names Berry Head of ArbitrationFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 27, 2014
What to Do When the Examiners Visit Your PracticeAdvisors love to learn from other advisors, which is why about 75 of them showed up early for a compliance session at Commonwealth's national conference.
October 14, 2014
Rep. Garrett to FINRA: Hold Off on CARDSAfter a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed, Rep. Garrett says.
October 14, 2014
The Bizarre Recruiting Case of Alfonso MontoyaA $150 million book of business Wells Fargo promised him never materialized and then the wirehouse took him to arbitration.
October 07, 2014
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study"Diverse groups of people make better decisions," the investor lawyers' group says.
October 07, 2014
FINRA’s Senior VP of Enforcement Moves to Shulman RogersEmily Gordy, FINRAs senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firms Financial Industry Regulatory Group.
September 30, 2014
FINRA Releases New Version of Controversial CARDS PlanFINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.