FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Suspension of Advisor for ‘Unbalanced’ Tweets Offers Warning
By Joyce HansonIn a case that speaks to the limits put on social media, FINRA suspended the founder of Titan Securities for using Twitter to make "overwhelmingly positive" predictions about one of her own stock holdings.
July 01, 2011
If You Want Something Done RightIt’s beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO, such as Mercer Bullard's SROIIA.
July 01, 2011
From FINRA Case, a Cautionary Tale on Immediate Annuities—Compliance WatchA FINRA arbitration panel recently decided in favor of a broker against his former BD in a dispute over a U4 involving an examination over advertisements for a fixed annuity product.
June 30, 2011
Madoff Scandal Changes FINRA Exam ProcessThe Financial Industry Regulatory Authority is responding to the criticism prompted by the Bernard Madoff scandal by intensifying its exam process.
June 30, 2011
Madoff Scandal Changes FINRA Exam ProcessThe Financial Industry Regulatory Authority is responding to the criticism prompted by the Bernard Madoff scandal by intensifying its exam process.
June 27, 2011
SEC, FINRA Exam Officials Lay Out Priorities, Areas of ConcernThe new head of the SEC's national broker-dealer exam program said Monday that two big areas of focus for the SEC are variable annuities and firms’ supervisory policies.
June 23, 2011
FINRA to Stay Aggressive, Focus on Structured Products—Compliance WatchAt times of great market volatility, says FINRA's Brad Bennett, suitability and marketing problems rise.
June 23, 2011
Why the Survival of Independent Advice Giving Is at StakeMercer Bullard's new SRO may be the last, best hope for the independent advice business.