FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA proposes new rules for advisors' "back office" staff
By Staff WriterProposes a new examination requirement that tests support staffs general knowledge and understanding of financial responsibilities.
May 26, 2010
FINRA Fines Piper Jaffray $700,000 for E-mail InfractionsThe Financial Industry Regulatory Authority (FINRA) recently fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately 4.3 million e-mail messages.
May 26, 2010
FINRA Head Calls For Scrutiny Of "Wealth Event" SalesFinancial services company supervisors should look carefully at sales involving money that came from an inheritance or a retirement plan cashout, according Financial Industry Regulatory Authority Chairman Richard Ketchum.
May 03, 2010
How to comply in a virtual worldHow can you steer clear of a PR nightmare waiting to happen?
May 01, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
May 01, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
May 01, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
April 30, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.