FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
The Secret Battle to Save Arbitration
By Bob ClarkIf a fiduciary standard is applied to all advice-givers, will arbitration be applied to all investor grievances?
March 09, 2011
FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAsThe Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.
March 01, 2011
Being Rick KetchumThis job affords me the opportunity to “live other lives;” to see both sides of an issue in all its selfish and selfless glory.
February 28, 2011
The Five Top FINRA Enforcement Actions in 2010An analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.
February 17, 2011
FINRA Fines Units for Privacy ViolationThe Financial Industry Regulatory Authority has imposed fines on two insurer affiliates in connection with allegations that they failed to protect customer information.
February 17, 2011
FINRA Fines Units for Privacy ViolationThe Financial Industry Regulatory Authority has imposed fines on two insurer affiliates in connection with allegations that they failed to protect customer information.
February 03, 2011
As Super Bowl Nears, FINRA, NFL Tackle Issue of Financial Planning for PlayersWhile many players for the Pittsburgh Steelers and Green Bay Packers will be at the pinnacle of their careers this Super Bowl Sunday, they will all eventually grow old and retire, which is why FINRA and the NFL have joined in a financial planning program.
February 01, 2011
FSI Endorses FINRA as SRO for Investment AdvisorsThe association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.