FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
History Lesson: How FINRA Would Oversee RIAs
By Bob ClarkWhat the then-NASD's regulation of RIAs in the past suggest about how FINRA would behave as the SRO for advisors.
December 21, 2010
Ron Roge’s Modest Proposal on FINRA as RIAs’ SRO: A Role for the CFP Board?Why not have the CFP Board serve as the SRO for all advice givers, as Ron Roge suggests, rather than, say, FINRA? Good idea, but . . .
November 10, 2010
The Illogic of FINRA’s Bid to Oversee AdvisorsIn case it wasn't clear before, last week the Financial Regulatory Authority made it very clear that it's ready, willing and able to extend its jurisdiction to RIAs.
October 22, 2010
FINRA Names Bennett New Head of EnforcementJ. Bradley Bennett has been chosen to serve as the new head of FINRA's Enforcement Division.
September 01, 2010
Annuity update: If FIAs are not securities, what about FINRA 05-50?On July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 31, 2010
Annuity update: If FIAs are not securities, what about FINRA 05-50?On July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 31, 2010
FINRA Alert: High-Yield Investment Programs Tied to Ponzi SchemesAttracted by promises of high returns? Think Madoff.
August 24, 2010
Morgan Stanley Adds Team From Wells Fargo, Faces FINRA FineMorgan Stanley Smith Barney recently recruited a team of financial advisers from Wells Fargo Advisors, which followed a fine by the Financial Industry Regulatory Authority (FINRA) over disclosure rules.