FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA ‘Aggressively’ Seeking BD Feedback on CARDS: Ketchum
By Melanie WaddellCEO 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 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.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 24, 2014
FINRA OKs Broad Expansion of Broker Background ChecksFINRA's board approved amendments to its supervision rule, which must be approved by the SEC.