FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's Ketchum: Disclosure a 'Key Ingredient' to Fiduciary Duty, but Not Sufficient Alone
By Melanie WaddellRichard Ketchum, chairman and CEO of FINRA, said on Tuesday that as the industry moves toward a unified fiduciary standard for brokers and advisors that while disclosure is a “key ingredient” that’s needed to address fiduciary issues, disclosure “alone is not sufficient.”
May 23, 2011
MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement‘We’re dealing with other people’s money here,’ MSRB Chairman says.
May 20, 2011
Four-Year High in FINRA Enforcement Actions, Says Enforcement ChiefNearly 450 cases have been brought through April, and amount of fines has increased, says FINRA's Bradley Bennett.
May 17, 2011
FINRA Launches Online Disciplinary Action DatabaseThe Financial Industry Regulatory Authority (FINRA) launched on Monday the FINRA Disciplinary Actions Online database, a web-based searchable system allowing investors to access brokers disciplinary actions via FINRAs website.
May 01, 2011
UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNsUBS Financial Services Inc. will pay a fine of $2.5 million to FINRA and $8.25 million to investors as restitution to settle FINRA charges “for…
April 27, 2011
Dale Brown, FSI: The Extended 2011 IA 25 ProfileAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.
April 26, 2011
BrightScope to Compete With SEC, FINRA on Advisor Background ChecksFINRA is ‘notoriously bad’ at utilizing data it collects, says BrightScope's CEO.
April 22, 2011
Beware Private Placements: Lessons From MedCap, Provident and DBSIMake sure to exercise caution when offering private placements