FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Alternative: SROIIA Surveying RIA Firms
By Kate McBrideFledgling SRO for RIAs adds officers, announces progress.
April 12, 2011
The Secret Battle to Save ArbitrationIf a fiduciary standard is applied to all advice-givers, will arbitration be applied to all investor grievances?
April 11, 2011
UBS to Pay FINRA Fine, Restitution to Investors in Lehman PPNsUBS to pay $2.5 million to FINRA, $8.25 million to investors, for omissions and statements made that effectively misled some investors.
April 01, 2011
An Alternative to FINRA OversightThe SEC, like any organization, likes to protect its own turf.
March 09, 2011
FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAsThe Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.
March 01, 2011
Being Rick KetchumThis job affords me the opportunity to “live other lives;” to see both sides of an issue in all its selfish and selfless glory.
February 28, 2011
The Five Top FINRA Enforcement Actions in 2010An analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.
February 17, 2011
FINRA Fines Units for Privacy ViolationThe Financial Industry Regulatory Authority has imposed fines on two insurer affiliates in connection with allegations that they failed to protect customer information.