FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Tip of the Iceberg: Email Problem Is Bigger Than LPL
By Bob ClarkFINRA 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 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.
May 21, 2013
FINRA Fines LPL $9M for Failing to Monitor EmailsFINRA announced Tuesday that it fined LPL for 35 separate, significant email system failures, and for making material misstatements to FINRA during its investigation.
May 17, 2013
Schwab Backs Off on Class-Action Ban—for NowCharles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.
May 16, 2013
Dale Brown: The 2013 IA 25 Extended ProfileWhen reminded that this is the seventh year that hes been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institutes success doesnt hinge on his abilities alone.