Displaying 1932 results
Industry to Finra: Why disclose exam scores?
Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.
Finra seeking comments on BrokerCheck enhancements
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Finra, planners slug it out over adviser SRO cost
Regulator pegs annual cost at $155M, adviser groups put price at $610M; either way, Barney Frank hates the whole idea
Finra panel: David Lerner Associates sold marked-up munis
Brokerage ordered to pay $3.7M for jacking up prices on tax-exempt bonds and CMOs; head trader suspended
Finra amends complaint against David Lerner
Despite a pending Finra complaint against his firm, David Lerner has continued to pitch nontraded REITs improperly, according…
Finra amends complaint against David Lerner
David Lerner has continued to improperly pitch nontraded REITs, according to an amended complaint filed last month by the self-regulator.
Securities attorney wins long-running battle with Finra
Hearing panel dismisses charges filed by regulator against Kevin Carreno in 2009; 'the process works'
Finra sank his job chances, attorney says
A Florida attorney claims that the Financial Industry Regulatory Authority Inc. derailed his bid to become the state's top financial watchdog in retaliation for a previous legal dispute he had with the regulator.
Top tweets from Finra’s annual conference
InvestmentNews’ Jim Pavia, editor, and Bruce Kelly, brokerage reporter, have been tweeting from Finra’s annual conference held in…
Live updates about broker-dealers from Finra’s annual conference
Follow along with InvestmentNews brokerage reporter Bruce Kelly, who is tweeting about news and trends impacting independent broker-dealers…
Live updates about social media from Finra’s annual conference
Follow along with InvestmentNews editor Jim Pavia, who is tweeting about social media trends from Finra’s annual conference…
Judge tosses Schwab suit against Finra
A federal judge today dismissed a legal action the Charles Schwab Corp. brought against the Financial Industry Regulatory Authority Inc. to stop an enforcement case over an allegedly illegal arbitration agreement.
Four firms to pay $9M for selling too-risky ETFs
Finra levies fines against Citi, Morgan Stanley, UBS and Wells Fargo
Nontraded REITs’ B-D faces another probe
The broker-dealer arm of a real estate investment company is being investigated by the Financial Industry Regulatory Authority…
Finra looking into Facebook trading snafu
Regulator assisting Nasdaq with investigation; orders not executed properly for 19 minutes on Friday
Finra may give up lock on BrokerCheck
In a move that could have a serious impact on the advice business, Finra is considering giving private vendors access to the regulator's data on licensing and disciplinary actions.
Finra enforcement actions, fines way up
Finra was busy in 2011. Very busy. A new survey reveals the regulator conducted almost 1,500 enforcement actions last year. Meanwhile, the SRO meted out close to $70 million in fines -- a nearly 50% increase. And there's more where that came from.
Advisers are urged to fight against SRO proposal
It was fitting that the National Association of Personal Financial Advisors’ annual conference in Chicago opened Tuesday to…
