FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance Pros
By Melanie WaddellCompliance professionals are questioning the merits of new FINRA rules that prevent people associated with mutual funds and hedge funds from serving as public arbitrators.
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.
May 21, 2013
FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure RulesKetchum said, that without action, FINRA would look hard at issuing an additional disclosure rule with respect to broker-dealer firms.