FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Plan Seeks ‘Clearer Picture’ of Nonlisted REITs
By Melanie WaddellThe plan would require BDs to factor in fees and commissions when determining the share price.
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.
January 23, 2014
10 Tips for a Successful Rollover: FINRAFINRA reminds investors considering a retirement account rollover that due diligence can keep your nest egg from suffering unnecessary cracks.
January 16, 2014
VP in Conflicts Office at J.P. Morgan Securities Barred for Leaking Inside InfoGutman had the keys to the kingdom through his position at J.P. Morgan as a gatekeeper with special access to material, nonpublic information, FINRA says.
January 09, 2014
MSRB Floats Muni Advisor RuleThe proposed rule strikes an appropriate balance" and is "workable for municipal advisors of all sizes, says MSRB.