FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
By Jane Wollman RusoffBreakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
May 19, 2014
FINRA ‘Aggressively’ Seeking BD Feedback on CARDS: KetchumCEO Richard Ketchum defended the controversial automated data-collection system as an important investor protection tool but stressed that FINRA wanted to get it right.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 06, 2014
FINRA Fines Morgan Stanley $5M Over IPO Share SalesFINRA said Morgan Stanley had supervisory failures in initial public offerings for Facebook, Yelp and 81 others.
May 02, 2014
SEC OKs FINRA Rule to Limit Self-TradingSelf-trades by single or related algorithms or trading desks "raise heightened concerns," FINRA says.
April 29, 2014
LinkedIn compliance program offers SEC, FINRA helpHearsay Social and Smarsh are among the certified compliance partners.
April 28, 2014
Profiling: How to Get Your Client’s StoryProfiling is an extremely powerful selling tool, maybe the most powerful sales tool you will ever use. So be sure you ask the right questions.
April 28, 2014
LinkedIn Compliance Program Offers SEC, FINRA HelpLinkedIn is the No. 1 social media channel used and requested by financial advisors, says Stephen Marsh, CEO of Smarsh, a certified compliance partner.