FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Dale Brown, FSI: The Extended 2011 IA 25 Profile
By John SullivanAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.
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.
April 12, 2011
The Secret Battle to Save ArbitrationIf a fiduciary standard is applied to all advice-givers, will arbitration be applied to all investor grievances?
April 11, 2011
UBS to Pay FINRA Fine, Restitution to Investors in Lehman PPNsUBS to pay $2.5 million to FINRA, $8.25 million to investors, for omissions and statements made that effectively misled some investors.
April 01, 2011
An Alternative to FINRA OversightThe SEC, like any organization, likes to protect its own turf.
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.