FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
How to (Legally) Settle Disputes With Clients
By Chris StanleyThese are the essential points in resolving a client dispute without suiting up for court or arbitration.
January 20, 2017
FINRA Mulls Changing Its Rulemaking ProcessFINRA plans to ask BDs about what changes need to be made to its engagement and transparency policies including how it crafts rules.
January 19, 2017
FINRA Names Gregory Dean as Senior VP of Government AffairsDean has worked in both houses of Congress, the federal government and the private sector.
January 19, 2017
FINRA Alerts Investors to Aggressive Call Center TacticsAs clients with smaller accounts are pushed out of advisor relationships, they may be sent to heavily sales-oriented call centers, FINRA says.
January 04, 2017
FINRA’s Top 5 Exam Priorities for 2017Advisors and broker-dealers have just received a cheat sheet of sorts from FINRA.
January 03, 2017
5 Brokers Who Crossed FINRA in Q4Advisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.
December 21, 2016
FINRA’s 12 Fines of Christmas: Wells Fargo, LPL Flub Security of RecordsThe companies were fined a total of $14.4 million, as some firms failed to keep millions of records in the proper electronic format.
December 15, 2016
FINRA Enforcement Chief Bennett to DepartBrad Bennett will leave early next year and return to private practice.