FINRA

Disclosure problems often cause trouble for firms but it's not every day the SEC points its finger at the quality of the CCO.Last week Envision ...

Retail brokers at dually registered firms needn't wait for the SEC to issue a rule extending to them a fiduciary duty standard similar to the ...

Of the nearly 5,000 brokerage firms registered by FINRA, 1,734 firms - or 37% - have an affiliate engaged in investment advisory activities. The statistics ...

It's widely assumed RIAs would reject an SRO - especially if it were FINRA - but even the SEC wants to see evidence. So TD ...

Here's a hint: F-I-N-R-A. In the latest twist in the larger tussle over who will ultimately oversee RIAs, FINRA has sent the SEC a five-page ...

If you don't have an encryption tool already, start looking for one. A FINRA proposal is likely to be finalized soon that will require broker-dealers ...

The procedures broker-dealers might have implemented to disclose certain information about complex products to customers might help them fill out a wider-ranging disclosure document that ...

In a Nov. 2 letter to the SEC, FINRA CEO Rick Ketchum reiterates his organization’s belief that an SRO is necessary for investment advisers and ...

FINRA's move toward permanently allowing investors to select all-public arbitration panels will, in the view of one lawyer who represents firms, result in panels more ...

FINRA's latest version of a proposed change to its outside business activities' rule would effectively require you to supervise reps' OBA.Industry pros say they're worried ...