FINRA

There would be a major expansion in the kinds of documents FINRA would make readily available to the public regarding disciplinary actions and complaints against ...

Congress - through Dodd-Frank and an amendment to that law - inadvertently made it more difficult to obtain documents about the SEC's oversight of FINRA ...

If you doubt whether FINRA wants to know what's happening on the investment adviser side of dually-registered firms, check out what the regulator requested in ...

Fines imposed by FINRA increased by 15% in 2012, while the number of enforcement actions edged up 3.5%, according to an analysis of data by ...

Don't neglect to add e-mail aliases used by business staff into your reviews, move archived e-mails to more permanent storage and review default settings on ...

FINRA recently fined a rep who was a financial adviser $20,000 and suspended him for 10 days for allegedly "shadowing trades" even though the regulator ...

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 - ...