FINRA

Tampa-based Cummings Financial Organization launched its social-networking program in 2012 as part of a pilot engineered by its broker, Transamerica Financial Advisors. Its philosophy – ...

Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...

FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products ...

FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes ...

Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though the rule only ...

A federal jury in Florida Jan. 28th found that Jill Wile, a former FINRA deputy regional director, was not a victim of age and sex ...

FINRA spells out the benefits of strong supervisory systems as a key protection against inadvertent harm to customers in its 2015 exam priorities letter (IA ...

Think FINRA is serious about outsourcing breakdowns? Ask Thrivent Investment Management ($90.4 billion in AUM).   In November, the SRO fined the Minneapolis dual-registrant $375,000 ...

New Rate for Fees Paid Under Section 31 of the Exchange Act ...

Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...