FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA to Reconsider BrokerCheck Web Link Plan
By Melanie WaddellFINRA board also plans to consider next week definitions of nonpublic and public arbitrators as well as an expungement rule.
February 04, 2014
FINRA Plan Seeks ‘Clearer Picture’ of Nonlisted REITsThe plan would require BDs to factor in fees and commissions when determining the share price.
January 28, 2014
FINRA seeks to block deletion of investor complaints against brokersFINRA is working on a rule to bar the deletion of an investors complaint against a broker in the public records.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
‘Improving’ FINRA Among Top Goals for BD LobbyFSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
January 27, 2014
FINRA’s Hot-Button Exam Issues for 2014In its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
January 27, 2014
Warning on IRA Rollovers: Regulators to Scrutinize SuitabilityStay on your toes, advisors: the SEC and FINRA have issued warnings to those who advise clients looking to roll workplace 401(k)s into private IRAs.