FINRA

Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick.   FINRA made it ...

Eight months after launching the initiative, FINRA’s new consolidated enforcement group is beginning to take shape, holding its first meeting and mapping an ambitious agenda ...

The headline suggested a textbook case of elder financial abuse: Broker makes fraudulent misrepresentations to collect $70,000 in fees from a couple of 90-something clients. ...

FINRA’s periodic retrospective rule review process has yielded a number of significant changes. This time, the SRO has flagged its carrying agreements’ rule (rule 4311) ...

JH Darbie & Co. is in search of a new FINOP. The New York-based broker-dealer settled charges against the firm March 27 for violating the ...

As the one-year anniversary of the outreach initiative dubbed “FINRA360” was reached this week (BD Watch, March 23, 2017), FINRA reported that it has received ...

Senator Elizabeth Warren (D-Mass.) believes it’s high time for FINRA to use its authority to address unpaid arbitration awards that are costing investors hundreds of ...

At FINRA, fraud is top of mind, judging by the SRO’s 2018 annual priorities letter (BD Watch, Jan. 11, 2018). But that covers a multitude ...

FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers’ registered persons. The SRO ...

Protecting senior investors from speculative or unduly complex products has been a well-known priority for FINRA. But suitability issues are not the only ones that ...