FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Sanctions Citigroup for Supervisory Violations in Misappropriation Scheme
By Michael S. FischerMillions were stolen from trusts of cemeteries in Michigan and Tennessee.
May 03, 2010
How to comply in a virtual worldHow can you steer clear of a PR nightmare waiting to happen?
May 01, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
May 01, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
May 01, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
April 30, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
April 30, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
April 30, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?