Tag: FINRA

The SEC is better suited to oversee independent advisers, the National Association of Personal Financial Advisors argues.

The bill is crucial to protect middle-class Americans who need the services of a financial adviser, the president of the Financial Services Institute (FSI) told Congress.

The Financial Industry Regulatory Authority (FINRA) issued an investor alert called “It Pays to Understand Your Brokerage Account Statements and Trade Confirmations.”

The Securities Industry and Financial Markets Association (SIFMA) developed an Institutional Suitability Certificate to facilitate broker/dealer compliance with new FINRA Rule 2111, specifically when dealing with institutional clients. 

Erado announced a multi-year agreement to provide social media compliance services to M Holdings Securities Inc. (M Securities), the broker/dealer of M Financial Group.

FiPath for Advisors, an online marketing solution for financial advisers, is partnering with Arkovi, a financial services social media solution for archiving, compliance and market intelligence.

Dale E. Brown, president and CEO of the Financial Services Institute (FSI), issued a statement regarding Boston Consulting Group’s report about the potential costs of a new self-regulatory organization...

Creating a self-regulatory organization (SRO) to oversee investment advisers could potentially cost twice as much as adequately funding an enhanced Securities and Exchange Commission (SEC) examination program.  

The Financial Industry Regulatory Authority (FINRA) issued an alert to investors, encouraging them to increase their 401(k) contributions.

The Financial Industry Regulatory Authority (FINRA) selected Gerri Walsh to be President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division. 

The Self-Regulatory Organization for Independent Investment Advisers (SROIIA) is continuing its mission towards creating an SRO that meets the needs of advisers, and has completed its second round...

In a recently published paper, law firm Sutherland Asbill & Brennan poses the question: when should broker/dealers and advisers play it safe or tough it out when facing...

FINRA and industry groups are weighing in this week on Rep. Bachus’ (R-Alabama) draft proposal for a new self-regulatory organization (SRO) to oversee financial advisers.  

A draft bill from House Financial Services Chairman Spencer Bachus (R-Alabama) calls for SEC-registered advisers to be transitioned from SEC regulation to a self-regulatory organization (SRO).

The question of how broker/dealers (B/Ds) and registered investment advisers (RIAs) should be regulated will be discussed at a hearing on September 13 by a House of Representatives...

Last week, FINRA not only provided much-needed clarification on acceptable social media usage for financial advisers, but it also recognized social and mobile technology as a boon, not...

The Financial Industry Regulatory Authority (FINRA) has fined Nuveen Investments, LLC, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS).

The Financial Industry Regulatory Authority (FINRA) has created the Disciplinary Actions Online database, which allows investors to find disciplinary records of FINRA-registered brokers.

Inadequately protecting confidential customer information was the reason behind the fines.

With Washington causing quite a stir in proposing changes to the definition of fiduciary, the Virtual PLANADVISER National Conference brought together experts to discuss the realities of such...