FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
NAPFA Elects Lauren Locker to Replace Ron Rhoades as Chair
By Joyce HansonLocker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFAs National Board for the past two years.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 09, 2012
FINRA Launches Conflict-of-Interest Sweep of BDsFINRA says the sweep is just a way to better understand BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.
August 08, 2012
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SROCongressman Bachus WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.
August 01, 2012
FINRA Fee Increases May Raise Sticker Price on Financial AdviceFINRAs proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.
July 31, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackBDs and reps who sue regulators may be rewarded with dismissed charges and smaller fines.
July 31, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackBDs and reps who sue regulators may be rewarded with dismissed charges and smaller fines.
July 30, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackA just-released annual study by Sutherland, Asbill & Brennan finds that sometimes it pays for reps and BDs to litigate against regulators instead of settling.