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17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
18 Feb 2010, 12:42 pm
FINRA filed with the SEC a proposed rule change that would explicitly permit non-party witnesses to be represented by attorneys in arbitration proceedings. [read post]
15 Dec 2009, 11:49 am
The FINRA Investor Education Foundation announced the release of the National Financial Capability Study today at a special event at the U.S. [read post]
28 Oct 2010, 11:28 am
FINRA filed with the SEC its proposed rule change that would give customers the option of selecting all-public arbitrator panels in disputes with their brokerage firms or registered representatives. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
9 May 2011, 1:56 pm
FINRA Dispute Resolution announced that effective June 6, 2011, a moving party (the party that makes the original motion in an arbitration) will have a five-day period to reply to a response to a motion. [read post]
22 Aug 2016, 3:30 am
As noted in this blog by Steve Quinlivan, the SEC has approved – in this Order – a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities… [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
27 May 2010, 9:21 am
Recently, I have been counseling members of the securities industry about the new Financial Industry Regulatory Authority (FINRA) social media regulations. [read post]
8 Oct 2011, 9:02 am
FINRA's new KYC and suitability rules (FINRA Rules 2090 and 2111) Click here to read the complete post... [read post]
25 Apr 2017, 7:14 am
A decision was rendered in April 2017 which resulted in barring Turner from FINRA association and fining him for $272, 879.04. [read post]
29 Mar 2023, 11:34 am
FINRA found that these recommendations were “excessive and unsuitable. [read post]
25 Oct 2011, 9:51 am
FINRA stated in it proposal that it co [read post]
9 Mar 2017, 7:25 am
What is FINRA’s BrokerCheck? [read post]
29 Jan 2020, 6:00 am
But Gerold, representing NASAA, asked FINRA to further restrict the rule’s application to better avoid conflicts of interest and elder abuse. [read post]
13 Sep 2018, 9:27 am
He is not currently associated with any FINRA-member firm. [read post]
15 Feb 2019, 11:02 am
FINRA registered broker-dealers, and registered representatives are similarly obligated to handle disputes arising in their employment in FINRA arbitration as members. [read post]
27 Dec 2011, 9:59 am
FINRA found significant violations of Reg. [read post]
