FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ron Roge’s Modest Proposal on FINRA as RIAs’ SRO: A Role for the CFP Board?
By Bob ClarkWhy not have the CFP Board serve as the SRO for all advice givers, as Ron Roge suggests, rather than, say, FINRA? Good idea, but . . .
September 01, 2010
Annuity update: If FIAs are not securities, what about FINRA 05-50?On July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 31, 2010
Annuity update: If FIAs are not securities, what about FINRA 05-50?On July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 31, 2010
FINRA Alert: High-Yield Investment Programs Tied to Ponzi SchemesAttracted by promises of high returns? Think Madoff.
August 24, 2010
Morgan Stanley Adds Team From Wells Fargo, Faces FINRA FineMorgan Stanley Smith Barney recently recruited a team of financial advisers from Wells Fargo Advisors, which followed a fine by the Financial Industry Regulatory Authority (FINRA) over disclosure rules.
August 24, 2010
Morgan Stanley Adds Team from Wells, Faces FineBoca Raton-based advisor team with $100 million-plus in assets joins MSSB a few days after FINRA fined the broker-dealer $800,000.
August 19, 2010
FINRA Sticks With Securities in Suitability ProposalThe Financial Industry Regulatory Authority is leaving "non-securities" products out of a proposed suitability rule update.
August 18, 2010
FINRA Sticks With Securities in Suitability ProposalThe Financial Industry Regulatory Authority is leaving "non-securities" products out of a proposed suitability rule update.