FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA: 6 Factors to Consider Before Investing in Alternative Funds
By Melanie WaddellFINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.
May 31, 2013
15 Best Finance Tweets of the Month: MayPIMCOs Bill Gross, Zero Hedge and others weigh in on Fed Chairman Ben Bernankes congressional testimony; Ron Rhoades tells us what he really thinks about FINRA; and more in your May dispatch from the Twittersphere.
May 29, 2013
Tip of the Iceberg: Email Problem Is Bigger Than LPLFINRA should lighten up on the accusations and fines, and work with firms to find better solutions to what seems to be a hugeand snowballingproblem.
May 24, 2013
FINRA on Record Enforcement Pace in ’13, Enforcement Chief SaysFINRA enforcement continues to have a strong caseload, with a record number of cases on the same pace this year as last, said Brad Bennett, FINRAs chief of enforcement.
May 23, 2013
SEC, FINRA Enforcement: Father, Son Cherry-Picking Scheme; South Miami in Muni-Bond FraudRecent enforcement actions include charges against a father and son for making undeclared trades and then cherry-picking the profitable ones, and charges against the city of South Miami for defrauding investors on muni bonds.
May 22, 2013
FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rulesFINRA CEO Richard Ketchum called on the SEC to act quickly to put brokers and advisors under a uniform fiduciary standard.
May 22, 2013
FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rulesFINRA CEO Richard Ketchum called on the SEC to act quickly to put brokers and advisors under a uniform fiduciary standard.
May 22, 2013
FINRA Inks Deal With Direct Edge, Gains Oversight of 90% of Equity Trading VolumeFINRA announced Wednesday that Direct Edge, the third-largest stock exchange operator in the U.S., has made a deal with FINRA to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.