Displaying 1932 results
Good work: Finra employees make double industry pay
The average compensation for Finra's 3,400 employees last year was nearly double that of the average worker on Wall Street. Bruce Kelly takes a look at the numbers. Plus: Finra trims operating loss but comp costs climb
Brokers can complain to Finra about exams – anonymously
Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.
Finra’s CARDS plan is likely to be a game changer
Along with helping identify trading abuses, system will help facilitate cost-benefit analyses
BrokerCheck needs a marketing effort
It's time for Finra to get serious about making sure investors know BrokerCheck exists.
Finra fines WFG Investments $700,000
Finra fines WFG Investments $700,000 for failing to supervise registered reps
SEC approves rule change for greater transparency of nontraded REITs
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
SEC raises red flag over Finra enforcement referral rule
Citing concerns over investor protection, SEC commissioners will take up a Finra proposal that would allow arbitrators to alert Finra to broad investor threats during dispute hearings.
Finra names new head of arbitration
A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.
Investors may resist quizzing brokers about compensation
Finra proposal bashed as an 'envelope-stuffer'
Rule proposal for new hire background checks moving to SEC
The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.
Finra plans to revive controversial broker compensation proposal
The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.
Foot-dragging on rules harms investors
Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.
Finra’s head of arbitration to retire in November
Linda Fienberg departs the regulator after putting in place several modifications to its dispute resolution forum over her 18-year tenure.
Big data: New technology comes to compliance
Software companies offer products to help advisers meet intense regulatory demands.
Tony Thompson barred from securities industry
The regulator said he misrepresented $50 million private offering that later went into default
Finra tacks on more time to REIT pricing change
Gives SEC another month to act on proposal.
Finra delays decision on public arbitrators
Delay means the SEC will not act until at least this fall on a Finra proposal that would limit the number of people who qualify as public arbitrators to settle investor disputes.
Variable annuity sales raising concern: Finra official
Product remains at top of investor complaint list and the self-regulator wants to ensure investors understand what they're getting into.
One hand washed the other – until now
Kudos to the SEC for signing off on a rule that should make it more difficult for brokers…
Giddy markets continue to look blissfully past mounting geopolitical unrest
Breakfast with Benjamin: Looking past all the geopolitical risk. Plus: U.S. investors finally start diversifying overseas, what's not to like about a marijuana ETF, how the Millennial generation slept through the bull market run, and a tribute to a fund industry critic.
