Displaying 1932 results
Finra probing IPO pitches
Wall Street's self-regulator is looking into whether research analysts are participating in pitches to win business by underwriting…
Finra still struggles to meet rising costs with less revenue
The Financial Industry Regulatory Authority Inc. faces many of the same challenges as its member firms — including…
A novel idea
An industry vet pitches ideas to Finra brass on how regulators and reps can work together to protect investors and create more streamlined and efficient compliance for advisers. Imagine that.
SIFMA pushes on promissory notes
The Securities Industry and Financial Markets Association is demanding that regulators end the practice of brokers pleading poverty…
Finra going all out to control e-mail
The $7.5 million fine against LPL Financial last week for e-mail violations is the largest ever brought by Finra just for e-mail violations. Warning: it's the latest example of the regulator's stepped-up enforcement effort in this area.
Brokers fear Finra wants to dig fingers in outside pies
Revamped Finra rule could allow the regulator to probe deeper into outside business activities of registered representatives, as well as affiliates and parent companies of broker-dealers
Finra board member downplays scandal
A newly elected Finra board member whose firm has been connected to a bribery scandal involving the former…
Finra sues ex-employee for sexual harassment
Examiner made "unwelcome romantic overtures' to colleague, harassed HR director, suit claims.
Real estate fixture Thompson defrauded investors: Finra
The Financial Industry Regulatory Authority Inc. has alleged that noted real estate investor Tony Thompson deceived and defrauded…
Ruling could help reps get rid of BrokerCheck blemishes
Following a controversial court ruling, Finra could be flooded by reps looking to clean up their BrokerCheck files.
SEC’s plan for adviser SRO has left the building, along with Walter
A new SEC will soon be in place. That means SRO champion Elisse Walter will be gone — and with her, the push for a broker SRO.
Finra bans broker for stealing $4.2M
One victim suffered from Alzheimer's, regulator says.
Finra’s financial viability isn’t in question
At the Financial Industry Regulatory Authority Inc., we take our fiscal and fiduciary responsibilities seriously and think that…
Lobbying costs at Finra down from last year
Pullback on push for adviser SRO is one big reason.
Finra’s financial woes no recipe for viability
SRO recorded substantial losses in 2012
Run-ins didn’t drive hiring of new counsel: LPL boss
LPL Financial LLC has had several recent run-ins with regulators, but that isn’t the reason it hired a…
Risky alt investments being probed
The Massachusetts securities cop last week sent subpoenas to 15 brokerages as part of a probe of sales of alternatives. Here are the products the regulator is zeroing in on.
Finra postpones action on recruitment disclosure rule
The Financial Industry Regulatory Authority Inc. has postponed action on a controversial proposal to require disclosure of broker…
Finra aims to take BrokerCheck to the masses
A proposal from Finra would require B-Ds — and possibly reps — to link to the broker database from their websites.
Non-licensed but still advising
Dan Levin's radio show is called “Investment Talk,” but since last September, he hasn't had a license to sell investments as a broker. And he's not licensed to give investment advice as an adviser. What gives?
