FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Weighs In On Social Networking
By Linda KocoThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.
January 04, 2010
FSI Comments on FINRA Rule 2510 Discretionary Account ChangeAsks FINRA to keep old NASD rule provisions
December 31, 2009
Boomers have bad credit card habitsMore than two-thirds of Americans have credit cards, and of those, about 27 percent say they have at least four cards, a recent study found....
December 14, 2009
Editor's Choice for the Week of December 14, 2009: A Snub to FINRA, Mixed Economic MessagesWhat's happening this week.
December 11, 2009
IAA Applauds Removal of FINRA Provision from Regulatory Reform BillInvestment Adviser Association Executive Director David Tittsworth issued a statement of approbation.
December 11, 2009
FINRA Provision Deleted From Reform BillThe provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11.
December 11, 2009
House Approves Financial Reform BillThe full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.