FINRA

In a Nov. 2 letter to the SEC, FINRA CEO Rick Ketchum reiterates his organization’s belief that an SRO is necessary for investment advisers and ...

FINRA's move toward permanently allowing investors to select all-public arbitration panels will, in the view of one lawyer who represents firms, result in panels more ...

FINRA's latest version of a proposed change to its outside business activities' rule would effectively require you to supervise reps' OBA.Industry pros say they're worried ...

When FINRA examiners recently showed up at Tessera Capital Partners in New York, the CEO noticed a big difference compared with her exam experience four ...

A new notice from FINRA reminds broker-dealers that they may need to ask more questions to help spot any red flags regarding the "beneficial ownership" ...

Lots of registered reps would fight for full arbitration hearings to get complaints expunged from their records, if FINRA finalizes a proposal to have BrokerCheck ...

Regulators are more vigorously scouring anti-money laundering efforts by firms, especially broker-dealers. While the SEC will likely ask your firm about its AML program on ...

FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager ...

In his most impassioned defense of financial regulatory reform, SEC Commissioner Luis Aguilar sounded off last Friday on efforts to soften Sarbanes-Oxley, criticized efforts to ...

Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...