Displaying 1932 results
Bachus reopens SRO debate, snipes at advisers
Two weeks ago, Rep. Spencer Bachus said his SRO bill was on indefinite hold. But after his strident Op-Ed piece in Monday's WSJ, the issue is again front and center.
Finra maintains higher spending on lobbying
Amid cost cuts, SRO spends $550K to make its case on Capitol Hill
Advisers breathe easier about SRO
Investment advisers can breathe easier — for now — about the prospects of being overseen by a self-regulatory…
Cohan: Time to shut down Finra’s arbitration panels
Those with a grievance should be able to make their case in a real court of law
SEC funding, SRO debates rekindle Madoff blame game
When the House of Representatives takes up an appropriations bill this summer that includes funding for the SEC,…
Following $84M loss, Finra board election commences
Regulator reveals three candidates for small-firm seat, as well as other nominees; some hot topics
Definitely not-for-profit: Finra loses $84M in 2011 on rising expenses
The Financial Industry Regulatory Authority Inc. took a hit as regulatory fees continued to decline and the costs of its ongoing integration with the NYSE rose.
Finra set to hike a slew of fees
Finra has SEC approval to hike a whole host of fees
JHS Capital, ex-broker hit with $1.9M arb award
JHS Capital Advisors Inc. and a former broker were hit with a $1.9 million Finra arbitration award last…
Finra critic loses appeal of disciplinary case
Finra critic John Busacca has lost a court appeal of a disciplinary case that the regulator brought against him in 2006.
Finra: brokers must update client info even if they keep their VA
Will require that brokers perform reasonable due diligence to understand the nature of the recommended strategy or securities product and whether it's suitable
Calendar dwindling for action on SRO bill
Legislation that would establish one or more self-regulatory organizations for investment advisers has not crashed, but its trajectory is stalling. It's not clear when -- or if -- the House Financial Services Committee will vote on the bill.
Finra goes public with private-placement crackdown
Regulator names names in statement disclosing Reg D enforcement actions; Securities America on the list
New Finra suitability rules worry industry
On Monday, Finra rolls out its expanded suitability rules. Some advisers and attorneys say the rule is a little too expanded for their liking.
New Finra suitability rule worries B-Ds
A major overhaul of suitability mandates that take effect today has some in the broker-dealer world worried about…
‘Hold’ orders not suited for Finra’s new suitability rules, advisers say
Firms track 'buy' and 'sell' transactions; with hold recommendations, there's no there there
Finra issues warning on risks of exchange-traded notes
The Financial Industry Regulatory Authority Inc. has issued an investor alert about the risks of exchange-traded notes after…
Finra’s CEO discusses changes made to its key regulatory programs
The following is an edited version of a speech by Richard G. Ketchum, chairman and chief executive of…
Top Finra spokesman leaving agency
Schloss giving up million-dollar job in September; face of the SRO
Merrill fined for allegedly overcharging customers by $32M
Brokerage agrees to pay nearly $3M fine to settle Finra enforcement action; 'improper coding' blamed
