FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears
By Melanie WaddellAs the Jan. 21 deadline approaches for the Securities and Exchange Commission (SEC) to deliver its report to Congress, the Financial Industry Regulatory Authority (FINRA) is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
October 22, 2010
FINRA Names Bennett New Head of EnforcementJ. Bradley Bennett has been chosen to serve as the new head of FINRA's Enforcement Division.
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.