FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC OKs FINRA Rule to Limit Self-Trading
By Melanie WaddellSelf-trades by single or related algorithms or trading desks "raise heightened concerns," FINRA says.
April 28, 2014
LinkedIn Compliance Program Offers SEC, FINRA HelpLinkedIn is the No. 1 social media channel used and requested by financial advisors, says Stephen Marsh, CEO of Smarsh, a certified compliance partner.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 24, 2014
FINRA OKs Broad Expansion of Broker Background ChecksFINRA's board approved amendments to its supervision rule, which must be approved by the SEC.
April 24, 2014
FINRA Reverses Schwab Class Action Waiver DecisionSchwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.