FINRA

A recent FINRA settlement resulted in a rep from a Michigan firm being suspended for 10 days for making unsuitable sales of inverse floater collateralized ...

FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say ...

The recently completed Form 990 annual filing by FINRA shows the SRO saw revenues grow 20% between 2010-2011. It also reversed a serious loss from ...

A recent FINRA settlement with a small New York firm and its CCO highlights the need to respond promptly to the regulator's information requests - ...

This is a sweep exam letter that FINRA sent after Hurricane Sandy in 2012 seeking answers to questions related to firms' business continuity plans (BCPs).

In 2012, FINRA announced that it was opening up its arbitration process to investment advisers. This was the SRO's form at the time to file ...

Attorney James Eccleston bills his time at $500 per hour, often representing or defending investment advisers and broker-dealers in a customer complaint. But 2-3 times ...

A recent decision by a FINRA hearing panel shows the perils of a firm not telling the regulator that it had altered a document the ...

You can take your client disputes to a new entity: FINRA. Last week the SRO announced a process for investment advisers to use its dispute ...

FINRA's Risk Control Assessment (RCA) survey, which was rolled out early this year in hopes that firms would voluntarily complete it, will be administered on ...