Content Areas

Search Terms


 See More >

Date Range



FINRA: Registration (11)
Your search for FINRA: Registration returned 11 results.
Sorted by Date

8/16/2018 | Content area: Broker-Dealer
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics c...
12/04/2014 | Content area: Investment Adviser
The brokerage industry is fighting hard against a revised FINRA plan to collect data electronically that it now gathers during examinations (IA Watch,...
4/28/2014 | Content area: Broker-Dealer
A greater spotlight will be placed on FINRA applicants and transfers should the revised supervision rule go into effect. Last week, the SRO's board ap...
11/14/2012 | Content area: Investment Adviser
In 2012, FINRA announced that it was opening up its arbitration process to investment advisers. This was the SRO's form at the time to file for such a...
10/10/2011 | Content area: Investment Adviser
Securities lawyers had varying opinions on the impact of last week’s federal appeals court decision that prohibits FINRA from using the courts to forc...
9/09/2011 | Content area: Investment Adviser
A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers c...
12/20/2010 | Content area: Investment Adviser
Here's a hint: F-I-N-R-A. In the latest twist in the larger tussle over who will ultimately oversee RIAs, FINRA has sent the SEC a five-page memo outl...
11/04/2010 | Content area: Investment Adviser
In a Nov. 2 letter to the SEC, FINRA CEO Rick Ketchum reiterates his organization’s belief that an SRO is necessary for investment advisers and indica...
4/12/2010 | Content area: Investment Adviser
A new notice from FINRA reminds broker-dealers that they may need to ask more questions to help spot any red flags regarding the "beneficial ownership...
9/14/2009 | Content area: Investment Adviser
Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they cond...
5/25/2009 | Content area: Investment Adviser
If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to amen...

Did you find what you were looking for?

Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.