FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC makes call on FINRA arbitration cases
By staff WriterThe 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 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...
March 01, 2009
Broker/Dealer Briefing: A Shot Over the BowThe regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
January 15, 2009
Schapiro's 'light touch' leaves scarsI'd hate to see her heavy touch. The Wall Street Journal reports on Mary Schapiro's time at the NASD and as head of FINRA, attempting...
December 03, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 02, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?