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FINRA: Rulemaking (19)
Your search for FINRA: Rulemaking returned 19 results.
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12/17/2014 | Content area: Investment Adviser
SIFMA continues to hammer away at FINRA’s controversial CARDS proposal (IA Watch, Dec. 4, 2014). This time the ammunition being used to combat the pro...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven appr...
10/22/2014 | Content area: Investment Adviser
Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panne...
8/04/2014 | Content area: Investment Adviser | Broker-Dealer
If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer's agreement not to opp...
7/28/2014 | Content area: Investment Adviser | Broker-Dealer
While the current, unofficial industry standard is one second, broker-dealers should expect to have to synchronize their trading clocks to within a mi...
7/07/2014 | Content area: Investment Adviser
Under pressure from its members, FINRA has revised a proposal requiring members to include a link to the SRO's BrokerCheck service in their electronic...
4/01/2013 | Content area: Investment Adviser
There would be a major expansion in the kinds of documents FINRA would make readily available to the public regarding disciplinary actions and complai...
2/04/2013 | Content area: Investment Adviser | Broker-Dealer
FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say this can inc...
10/15/2012 | Content area: Investment Adviser
Firms are grappling with a provision in FINRA's new suitability rule that categorizes an explicit recommendation to hold securities as one that must c...
8/27/2012 | Content area: Investment Adviser
Some firms had complained that FINRA's rule requiring the reporting of a lien against a rep within 30 days of the ruling was unfair - because sometime...
1/23/2012 | Content area: Investment Adviser
A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your firm in...
1/16/2012 | Content area: Investment Adviser
FINRA appears to have dropped a proposed provision that would have required broker-dealers to subject internal training materials to the same approval...
9/19/2011 | Content area: Investment Adviser
The internal materials you use to educate and train your reps on your firm's services and products would be subjected to the same approval and recordk...
11/22/2010 | Content area: Investment Adviser
If you don't have an encryption tool already, start looking for one. A FINRA proposal is likely to be finalized soon that will require broker-dealers ...
11/08/2010 | Content area: Investment Adviser
The procedures broker-dealers might have implemented to disclose certain information about complex products to customers might help them fill out a wi...
10/18/2010 | Content area: Investment Adviser
FINRA's move toward permanently allowing investors to select all-public arbitration panels will, in the view of one lawyer who represents firms, resul...
9/13/2010 | Content area: Investment Adviser
FINRA's latest version of a proposed change to its outside business activities' rule would effectively require you to supervise reps' OBA.Industry pro...
2/22/2010 | Content area: Investment Adviser
Lots of registered reps would fight for full arbitration hearings to get complaints expunged from their records, if FINRA finalizes a proposal to have...
8/31/2009 | Content area: Investment Adviser
At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insur...


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