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FINRA: Regulators (260)
Your search for FINRA: Regulators returned 260 results.
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3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/10/2019 | Content area: Broker-Dealer
The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of elect...
1/02/2019 | Content area: Broker-Dealer
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The SRO has qu...
12/13/2018 | Content area: Broker-Dealer
Thinking about hiring a FINRA employee? You might want to think again.   The SRO is tightening conflict of interest rules for ex-officers and other fo...
12/06/2018 | Content area: Broker-Dealer
Settle a case and examiners expect you to right the ship and implement promised reforms (BD Watch, Dec. 21, 2017). H. Beck is your latest peer to disc...
11/21/2018 | Content area: Broker-Dealer
You can pick out two lessons in the story of a billing problem that affected more than 150,000 wealth management accounts at J.P. Morgan Securities.  ...
11/15/2018 | Content area: Broker-Dealer
Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, pl...
11/09/2018 | Content area: Broker-Dealer
It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger...
11/01/2018 | Content area: Broker-Dealer
How FINRA calculates fines has always been something of a mystery – and a source of industry frustration. Now, the SRO seems to be making good on a pr...
10/25/2018 | Content area: Broker-Dealer
Having recently revamped its enforcement efforts, FINRA is now taking aim at its disjointed examination program. Details have been hard to come by sin...
10/04/2018 | Content area: Broker-Dealer
Cadaret Grant & Co. has 930 registered reps and investment advisers located in 500 branch offices across 27 states. But the salient number for FINRA i...
10/04/2018 | Content area: Broker-Dealer
FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also l...
9/27/2018 | Content area: Broker-Dealer
It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to...
9/20/2018 | Content area: Broker-Dealer
We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawa...
9/20/2018 | Content area: Broker-Dealer
Just when you thought FINRA could not possibly extract more large fines in connection with the Order Audit Trail System more damage is being reported ...


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