FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ketchum: Investors need regulatory consistency
By Staff WriterWhat we learned from Madoff is that it makes no sense for two independent regulatory bodies to oversee investment advisors and broker/dealers, Richard G Ketchum,...
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?
December 01, 2008
B/D Briefings News & ProductsAmeriprise Financial, Inc. announced that it has completed its all-cash acquisition of H&R Block Financial Advisors from H&R Block. The more than 950 H&R Block...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...