FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
How to comply in a virtual world
By Steven McCartyHow can you steer clear of a PR nightmare waiting to happen?
May 01, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
April 30, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
April 30, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
April 30, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
April 20, 2010
FINRA to Investors in Reverse Convertibles: Caveat EmptorWhile the high yields are attractive for some investors, it is essential to understand all of the risks behind the high yields of reverse convertibles. Enter with eyes wide open.
April 13, 2010
Susan Merrill, FINRA's Enforcement Chief, to Join BinghamMerrill will lead law firm's broker-dealer group