FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Advisors Weigh In On Client Advisory Boards
By Olivia MellanA financial advisors group on LinkedIn.com recently had a lively discussion of client advisory boards, started by an advisor who asked for the opinions of colleagues who had established a board
March 12, 2012
FINRA’s Top 5 Enforcement Issues of 2011A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 01, 2012
The Regulator of Last ResortLooks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Groups report, Investment Adviser Oversight: Economic Analysis of Options.
February 01, 2012
FINRA Files Complaint Against Schwab for Asking Customers to Sign WaiverFINRA announced Wednesday that it had filed a complaint against Charles Schwab & Co. charging the firm had violated FINRA rules by requiring its customers to waive their rights to bring class actions against the firm.