FINRA

In 2012, FINRA announced that it was opening up its arbitration process to investment advisers. This was the SRO's form at the time to file ...

Attorney James Eccleston bills his time at $500 per hour, often representing or defending investment advisers and broker-dealers in a customer complaint. But 2-3 times ...

A recent decision by a FINRA hearing panel shows the perils of a firm not telling the regulator that it had altered a document the ...

You can take your client disputes to a new entity: FINRA. Last week the SRO announced a process for investment advisers to use its dispute ...

FINRA's Risk Control Assessment (RCA) survey, which was rolled out early this year in hopes that firms would voluntarily complete it, will be administered on ...

A recent FINRAsettlement shows clearly the perils of a compliance officer having designated supervisory responsibilities over certain firm operations - especially over activities conducted by ...

Firms are grappling with a provision in FINRA's new suitability rule that categorizes an explicit recommendation to hold securities as one that must comply with ...

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 - ...

FINRA sanctions and fines for 2012 will surpass those for 2011 if the SRO continues its activity at the current pace, according to a new ...

FINRA CEO Richard Ketchum has repeatedly stated that firms are going to need to identify their significant conflicts of interest and figure out how they're ...