FINRA

Total revenues at FINRA jumped 2% and salaries enjoyed a nearly 5% bump last year. While CEO Rick Ketchum continues to be the top wage ...

As debate over a uniform fiduciary standard continues, FINRA has released a 44-page Report on Conflicts of Interest that urges firms to identify, manage and ...

Compliance guidance for overseeing issues like application of a fiduciary duty standard can be found in a new release from FINRA that passes on questions ...

A new report released by FINRA indicates that fraud against Americans may be greatly under-reported, and that many individuals don't know common red flags that ...

FINRA's anti-spinning rule (FINRA Rule 5131) would include a new, limited exception with regard to fund of funds, if a proposal the self-regulatory organization recently ...

Last month's Supreme Court decision involving American Express Co. might ultimately bolster the legal backing for those FINRA member firms that who place language in ...

FINRA is considering identifying categories of limited-purpose firms that don't need to be covered by all of its rules, and creating tailored rulebooks that are ...

FINRA has pulled back its controversial proposal that called for firms to place hyperlinks to reps' BrokerCheck reports on websites and social media locations the ...

The question had to be asked. With Carlo di Florio, who headed up the SEC's exam program for investment advisers and investment companies for three ...

There would be a major expansion in the kinds of documents FINRA would make readily available to the public regarding disciplinary actions and complaints against ...