Tag: FINRA

Even with recent guidance from regulators about the correct use of social media, advisers still have plenty of questions about compliance.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

Steven J. Randich was named executive vice president and chief information officer (CIO) by the Financial Industry Regulatory Authority (FINRA).  

The Financial Industry Regulatory Authority (FINRA) fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.

Assets grew 19.1% in 2011 for advisers registered both as registered investment advisers (RIAs) and as brokers, Cerulli found.

The Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 for failing to file hundreds of required reports.

The Financial Industry Regulatory Authority (FINRA) announced that Vice Chairman Stephen Luparello is leaving to join the WilmerHale law firm in Washington, D.C.

Reporting capabilities for Form PF were added to the alternatives product suite of services for J.P. Morgan Worldwide Securities Services.

Global Relay updated its Twitter archiving software to help advisers meet Securities and Exchange Commission (SEC) as well as Financial Industry Regulatory Agency (FINRA) regulations.

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.

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.