Tag: FINRA

FINRA Updates FAQs on Public Communication Rule

The Financial Industry Regulatory Authority (FINRA) has updated a helpful frequently asked questions (FAQs) section on its website outlining the scope and limits of FINRA Rule 2210, which covers adviser communications with the investing public.

Lexington Unveils RIA Registration Service

Compliance consulting firm Lexington Compliance launched a registered investment adviser (RIA) registration service to help clients establish and manage new independent financial services firms.

FINRA Approves Mandatory Background Checks

The Financial Industry Regulatory Authority (FINRA) approved an amendment to its supervision rule that would require registered firms to conduct background checks on all registration applicants.

Stifel, Nicolaus Consents to FINRA Fines

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with sales of leveraged and inverse exchange-traded funds (ETFs).

FINRA to Examine IRA Rollovers

Reviewing firm practices for recommending and marketing individual retirement account (IRA) rollover services will be a 2014 priority for the Financial Industry Regulatory Authority (FINRA).

FINRA Proposes Automated Oversight

The Financial Industry Regulatory Authority (FINRA) is soliciting comments on a proposal to standardize and automate account activity and security reviews for its members.

LPL Adds DIVER Advisor

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

FINRA Tries Putting a Collar on Conflict

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.