FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Top 5 Enforcement Issues of 2011
By Melanie WaddellA survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 01, 2012
The Regulator of Last ResortLooks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Groups report, Investment Adviser Oversight: Economic Analysis of Options.
February 01, 2012
FINRA Files Complaint Against Schwab for Asking Customers to Sign WaiverFINRA announced Wednesday that it had filed a complaint against Charles Schwab & Co. charging the firm had violated FINRA rules by requiring its customers to waive their rights to bring class actions against the firm.
January 20, 2012
New Tool for BDs to Meet FINRA Rule 2111 on Suitability StandardsIpreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.
January 18, 2012
FINRA Fines Citigroup Global Markets $725,000FINRA announced Wednesday that it has fined Citigroup Global Markets $725,000 for failure to disclose conflicts of interest in its research reports and research analysts' public appearances.
January 09, 2012
The Costs of FINRA Oversight of RIAs: Running the SRO NumbersAt last, credible information on the costs of having an SROor notto oversee advisors, and what each scenario would cost RIAs in dollars and cents.