FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
‘Alarming’ Number of Broker Arbitration Records Wiped Clean: Study
By Melanie WaddellA study of more than 1,600 arbitration cases over the past five years shows an alarmingly high rate of brokers who were able to get their arbitration histories wiped clean, according to a report released in mid-October by the Public Investors Arbitration Bar Association (PIABA).
October 18, 2013
FINRA Warns BDs to Better Manage Conflicts of InterestFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 16, 2013
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: StudyAn author of the study by PIABA, a legal group, says that this a "major investor protection problem."
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 Critical Questions to Prepare for FINRA Suitability ExamsIf you can't answer these questions, securities lawyer Josh Horn says, it's time to "revisit your policies and procedures before FINRA does it for you.
October 10, 2013
SEC, FINRA Enforcement: Firm Owner Loots Scholarship Funds, Widow’s AccountFINRA expels firm and its owner for misusing a widow's money and a scholarship fund; SEC charges more inside traders in Heinz case.
October 04, 2013
SEC, FINRA Enforcement: Texas Couple Busted in Green Card Investment ScamAmong other actions, the SEC charged a woman in a bail-bond scheme and froze assets in a bill-collection scam to pay alimony and child support.