FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Updates Comp Rule
By Allison BellThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
March 31, 2009
SEC makes call on FINRA arbitration casesThe Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place. The new rule
March 30, 2009
FINRA sees flurry of arbitration, seeks REIT-related info.Things are getting hectic at FINRA. The regulator's statistics show arbitration claims jumped 90 percent through February versus the same month in 2008. According to...
March 24, 2009
Ketchum: Investors need regulatory consistencyWhat we learned from Madoff is that it makes no sense for two independent regulatory bodies to oversee investment advisors and broker/dealers, Richard G Ketchum,...
March 16, 2009
Schapiro should be good for seniorsPresident Obama's pick to head the Securities and Exchange Commission is Mary L. Schapiro, Esq. -- the first woman to serve as the agency's permanent chairman. The appointment comes at a tumultuous time in the financial world and
March 15, 2009
Schapiro should be good for seniorsPresident Obama's pick to head the Securities and Exchange Commission is Mary L. Schapiro, Esq. -- the first woman to serve as the agency's permanent chairman. The appointment comes at a tumultuous time in the financial world and
March 01, 2009
When It Pays to Fight City HallNew SEC Chairman Mary Schapiro promises better enforcement from the Commission, but the securities law firm Sutherland Asbill & Brennan's annual analysis of litigated disciplinary...