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FINRA: Regulators (254)
Your search for FINRA: Regulators returned 254 results.
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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 ...
9/13/2018 | Content area: Broker-Dealer
It seems like an idea that only plaintiffs’ lawyers could love: forcing firms to divulge the amount of insurance they carry when they are sued by a cu...
9/13/2018 | Content area: Broker-Dealer
Suspect that one of your reps may be engaged in excessive trading? Better investigate or put some meaningful restraints in place. Otherwise, you risk ...
9/06/2018 | Content area: Broker-Dealer
Has the annual compliance meeting outlived its usefulness? Some of your peers think so, and FINRA itself may be open to reconsidering it. You know th...
8/30/2018 | Content area: Broker-Dealer
Mismarking can be costly. Citigroup Global Markets has paid a $5.75 million fine for failing to supervise a group of traders who mismarked the value o...
8/23/2018 | Content area: Broker-Dealer
Don’t say you weren’t warned.   In early May, announcing a settlement with Fifth Third Securities over the marketing of variable annuities, a top FINR...
8/16/2018 | Content area: Broker-Dealer
FINRA is proposing to revise the suitability rules to “more effectively address instances of excessive trading in customers’ accounts (BD Watch, July ...


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