FINRA

A February study that generated a great deal of industry buzz for revealing high rates of misconduct among financial advisers under FINRA’s supervision continues to ...

FINRA fired another shot across the bow in its on-going battle to protect senior investors.   The target this time: pension-income stream products.   The SRO ...

Another broker-dealer has been sanctioned for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts. But it avoided additional financial ...

Remarks From the Brookings Institution

FINRA and the SEC continue to hammer at problematic conduct they have seen stemming from algorithmic trading strategies. On April 7, the Commission approved a ...

FINRA takes seriously the idea that research reports must be objective and transparent.   And you don’t get a pass just because the information you distributed ...

It’s the ultimate defense:  that FINRA lacks the legal authority to enforce securities laws.   And that is the nub of a novel complaint recently filed ...

It may be time to review your policies on maintaining the privacy of customer information obtained from newly hired brokers.   That’s the lesson from ...