FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Kudos to Mary Schapiro for Her Non-Action in FINRA Document Case
By Bob ClarkSometimes character is revealed by what people dont do as much as by what they do.
October 05, 2011
FSI Members Storm Congress to Lobby for Advisor SROAdvisors and broker-dealer representatives descended on Capitol Hill on Wednesday to urge about 260 members of Congress to support Rep. Spencer Bachus draft legislation calling for one or more SROs to oversee investment advisors.
September 28, 2011
FINRA Disciplines Merrill, LPL, National Financial, Van KampenFINRA took disciplinary action against Merrill Lynch, LPL Financial, National Financial Services and Van Kampen Funds. Merrill was censured and fined $400,000 on findings that it failed to enforce its anti-money laundering rules.
September 23, 2011
Taking on the SEC and FINRA—Sometimes It PaysNew research from the law firm Sutherland shows that it pays to litigate against the SEC and FINRA, particularly when it comes to fraud cases.
September 07, 2011
FINRA Fines 5 Broker-DealersFive broker-dealers were fined by FINRA for understating the amount of total commissions they charged to customers in trade confirmations and on fee schedules.
September 01, 2011
How Much Is Too Much?As I’m sure is true for many of you, one of my favorite pastimes is reading up on the latest FINRA changes. Recently, I was reading an article about…
August 24, 2011
FINRA Warns Investors to Beware of Gold Stock ScamsIn an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.
August 23, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.