FINRA

It's been a vexing issue since the SEC finalized its revised pay-to-play rule: How can affected advisory firms discover government pension funds buried deep within ...

FINRA CEO Richard Ketchum said he would be "surprised" to see the SEC issue a proposed rule on a uniform fiduciary standard for broker-dealers and ...

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...

You might want to warn your clients of some pump-and-dump schemes floating around that try to exploit publicity over Japan's recent earthquake and nuclear crisis. ...

With all you have on your plate, you could be excused for missing a new FINRA rule that doesn't affect advisory firms directly. It's FINRA ...

Disclosure problems often cause trouble for firms but it's not every day the SEC points its finger at the quality of the CCO.Last week Envision ...

Retail brokers at dually registered firms needn't wait for the SEC to issue a rule extending to them a fiduciary duty standard similar to the ...

Of the nearly 5,000 brokerage firms registered by FINRA, 1,734 firms - or 37% - have an affiliate engaged in investment advisory activities. The statistics ...

It's widely assumed RIAs would reject an SRO - especially if it were FINRA - but even the SEC wants to see evidence. So TD ...

Here's a hint: F-I-N-R-A. In the latest twist in the larger tussle over who will ultimately oversee RIAs, FINRA has sent the SEC a five-page ...