FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Updates Guidance on Communications With Public
By Melanie WaddellFINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
January 07, 2013
FINRA Advances Bonus Disclosure Plan for BrokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
December 27, 2012
Major Wirehouses Hit by FINRA for Lobbyist PaymentsFINRA announced Thursday that it had sanctioned five firms for fees paid to a lobbyist.
December 21, 2012
The Jaws of DefeatTaking time out over the holidays to reflect on the past year has become one of my favorite exercises.
December 14, 2012
FINRA clarifies ‘customer’ and ‘investment strategy’ terms under suitability ruleThe clarifications are updates to FINRA's Regulatory Notice 12-25, which was issued in May and provides guidance on the rule in a frequently asked questions format.
December 14, 2012
FINRA clarifies ‘customer’ and ‘investment strategy’ terms under suitability ruleThe clarifications are updates to FINRA's Regulatory Notice 12-25, which was issued in May and provides guidance on the rule in a frequently asked questions format.
December 13, 2012
FINRA Clarifies ‘Customer’ and ‘Investment Strategy’ Terms Under Suitability RuleFINRA on Tuesday clarified what the terms customer and investment strategy mean under its suitability rule, which became effective on July 9.
December 10, 2012
FINRA Reaches for Feedback on Broker Comp Disclosure RuleFINRAs board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.