Displaying 1932 results
Brokers need to rethink the IPS
The quintessential document governing investment decision making by fiduciaries is the investment policy statement. Brokers acting in a…
Take two for Finra on advance-notice rule
Plans to reissue a package of controversial membership rules regarding alerts on business changes
Finra’s cease-fire on RIA oversight
Regulator is indicating that legislation on SRO proposal might not be revived this year
Financial advisers: Finra warning on bonds better late than never
Regulator told investors in an alert that outstanding bonds could see price drops with rising interest rates
Belesis under Finra microscope
Regulator alleges that John Thomas CEO orchestrated pump and dump
Finra backtracks on plan to end 5% markup rule
Commenters had warned against eliminating it without setting a new standard
Finra warned on bonus disclosure plan
The main trade group representing independent-contractor broker-dealers will soon go public with its concerns about a Financial Industry…
Advocates to advisers: Charge Capitol Hill
Investment advisers stopped legislation last year that would establish a self-regulatory organization to oversee them by making their presence felt on Capitol Hill. They're keeping it up this year.
SEC member Gallagher calls for review of SROs
A member of the Securities and Exchange Commission today called for a review of self-regulation of financial companies…
Finra adds BDCs, leveraged ETFs to focus for 2013
Finra will continue to zero in on yield-oriented products this year, but also will focus on business development…
Finra’s suitability rules on private funds create conflicts
Regulator's recently-adopted rules seem to directly contradict the implicit promise of privacy from SEC/CFTC rule
Finra sees big jump in restitution
Finra, the brokerage industry self-regulator that seeks to have financial advisory firms added to its regulatory domain, said…
Finra zeroes in on money-laundering cases
Brokerage firms are feeling the heat for lax anti-money-laundering procedures. Last year, the Financial Industry Regulatory Authority…
Finra dials it back on suitability rule
Finra has eased up on a controversial interpretation of its new suitability rule in a move that is…
Galvin’s LPL suit a boon to plaintiffs
Last week, Massachusetts sued LPL for its sales and marketing of a popular nontraded REIT. Expect the plaintiffs' bar to swoop in as well.
Surprise! Fiduciary advocate calls Finra best hope for progress
With the SEC seemingly toothless, a top consumer advocate now believes the SRO is the best hope for raising the standard of care for reps.
AllianceBernstein’s iPad app supports multiple uses
AllianceBernstein LP has taken a future-proofing approach to building its slick AB Connect iPad application, which officially launched…
Finra on to B-Ds that sold VAs with hedge funds
Finra is investigating half a dozen independent broker-dealers that sold variable annuities with subaccounts invested in hedge funds,…
Finra to consider new disclosure rule
Finra eyes requiring the disclosure of recruiting incentives to clients | Sarch: Transparency for bonuses? Bring it on! »
Finra extends key deadlines in Sandy’s wake
SRO's NYC office closed due to storm
