FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement
By Kate McBride‘We’re dealing with other people’s money here,’ MSRB Chairman says.
May 01, 2011
UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNsUBS Financial Services Inc. will pay a fine of $2.5 million to FINRA and $8.25 million to investors as restitution to settle FINRA charges “for…
April 27, 2011
Dale Brown, FSI: The Extended 2011 IA 25 ProfileAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.
April 26, 2011
BrightScope to Compete With SEC, FINRA on Advisor Background ChecksFINRA is ‘notoriously bad’ at utilizing data it collects, says BrightScope's CEO.
April 22, 2011
Beware Private Placements: Lessons From MedCap, Provident and DBSIMake sure to exercise caution when offering private placements
April 20, 2011
FINRA Alternative: SROIIA Surveying RIA FirmsFledgling SRO for RIAs adds officers, announces progress.
April 20, 2011
Michael Oxley Describes New Role as FINRA Lobbyist: Exclusive InterviewMichael Oxley should be on every advisor's radar, as the former Republican congressman is now lobbying to ensure FINRA becomes the SRO for advisors.
April 15, 2011
TD’s Schweiss on Overlooked Golden Opportunity for Advisors: Weekend InterviewSkip Schweiss suggests that DOL regulations on fiduciary and retirement plans will play to fiduciary advisors’ strength.