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FINRA: Regulators (72)
Your search for FINRA: Regulators returned 72 results.
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4/21/2015 | Content area: Investment Adviser
The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the C...
1/29/2015 | Content area: Investment Adviser
A federal jury in Florida Jan. 28th found that Jill Wile, a former FINRA deputy regional director, was not a victim of age and sex discrimination. The...
1/05/2015 | Content area: Investment Adviser
Surveillance for all equities and options trading in the U.S. will be done by FINRA. As of this year, the SRO began to provide market surveillance, fi...
1/02/2015 | Content area: Investment Adviser
Misinterpreting the rules of your regulator can be costly. Pershing learned that lesson the hard way after staff misinterpreted certain aspects of the...
12/18/2014 | Content area: Investment Adviser
The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to its newly...
12/04/2014 | Content area: Investment Adviser | Broker-Dealer
A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled ...
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,...
12/04/2014 | Content area: Investment Adviser
FINRA and the MSRB have released parallel rule proposals intended to make bond pricing clearer to retail investors. The rule would apply to corporate ...
11/20/2014 | Content area: Investment Adviser
Neither side is talking for the record but newly-filed court documents describe a deteriorating office environment that ultimately led to the firing o...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
It looks like interest rate sensitive securities will make a re-appearance on FINRA’s 2015 exam priorities list. A senior FINRA staffer has cautioned ...
10/22/2014 | Content area: Investment Adviser
Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a ...
10/09/2014 | Content area: Investment Adviser
FINRA’s arbitration forum has myriad problems, many of which would be solved by allowing investors to pursue their grievances in court, reads a report...
10/09/2014 | Content area: Investment Adviser | Broker-Dealer
FINRA member firms don’t always have to settle disputes with clients via FINRA arbitration, a federal court has ruled. This was the second such ruling...
8/19/2014 | 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 op...
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
FINRA is concerned that some of its registered reps may be executing customer orders in ways that benefit the reps rather than the customers. The SRO ...
7/28/2014 | Content area: Investment Adviser | Broker-Dealer
Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades....
7/14/2014 | Content area: Investment Adviser | Broker-Dealer
If you sell securities via a private placement to a non-accredited investor, you must notify FINRA.This rule applies to offerings made with funds from...
7/14/2014 | Content area: Investment Adviser | Broker-Dealer
We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for broker-...
7/07/2014 | Content area: Investment Adviser
2013 was a good year for FINRA financially. It's flush, with total assets now reaching $2.3 billion, up slightly from $2.2 billion in 2012, according ...


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