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3 Aug 2015, 3:35 am
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure Of 18 Year Old SettlementThis article updates a February 2015 BrokeAndBroker.com Blog. [read post]
13 Mar 2023, 12:08 pm
The following law review articles relating to securities regulation are now available in paper format: Peter Giovine, Note, Arbitration and FINRA's Customer Code: A Tailored Approach to When a Forum Selection Clause May Supersede FINRA Rule 12200, 91 Fordham L.... [read post]
24 Jul 2023, 4:11 am
JOIN TODAY -- FREE MEMBERSHIP x DOJ x SEC x CFTC x FINRA ... [read post]
27 Apr 2015, 11:41 pm
On April 15, 2015 the SEC and FINRA issued a report, National Senior Investor Initiative. [read post]
18 Nov 2009, 12:07 pm
Here is the link to the SEC's Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure). [read post]
18 Mar 2011, 5:46 am
Sutherland Asbill & Brennan LLP recently announced the results of its 2011 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) against... [read post]
24 May 2012, 7:50 am
Broker-dealers’ conflicts of interest and the proliferation of complex financial products being sold by financial advisers are the top areas of concern to the Financial Industry Regulatory Authority (FINRA), according InvestmentNews (“Ketchum: Finra’s focus on conflicts of interest compounding,” by Bruce Kelly). [read post]
21 Jul 2022, 10:43 am
In response, FINRA announced that it would retain an independent firm to conduct an investigation. [read post]
6 Aug 2014, 5:14 am
FINRA Arbitrators Punt When They Should Have Gone For ItAugust 8, 2014Not a lot of folks are fans of FINRA arbitrations. [read post]
9 Jun 2023, 11:19 am
The arguments against FINRA play... [read post]
28 Aug 2023, 4:13 am
JOIN TODAY -- FREE MEMBERSHIP DOJ x SEC x CFTC x FINRA x... [read post]
2 Jan 2024, 1:04 pm
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
5 Oct 2010, 10:50 am
Late last month, FINRA executed such an agreement with the UK's chief regulator;... [read post]
3 Feb 2009, 1:47 pm
"Finra said it had received complaints... [read post]
20 May 2021, 9:58 am
PIABA and the PIABA Foundation recently released a new study on stockbroker expungements within the FINRA forum. [read post]
29 Sep 2009, 12:42 pm
FINRA announced today that the SEC approved a major expansion of FINRA's Trade Compliance and Reporting Engine (TRACE) to include debt issued by federal government agencies, government corporations and government sponsored enterprises (GSEs), as well as primary market transactions in... [read post]
18 Dec 2008, 3:24 pm
Reports say that Obama has tapped FINRA head Mary Schapiro to head the SEC. [read post]
15 Mar 2012, 2:31 am
FINRA?) [read post]
18 Dec 2018, 6:04 am
According to the Financial Industry Regulatory Authority (FINRA) By-Law, Article III, Section 4, filing for bankruptcy is not an event that would disqualify an individual from being associated with a FINRA member firm. [read post]
14 Aug 2009, 3:40 am
See FINRA's webpage on the Red Flags rule for further information relevant to broker-dealers, including a template for written procedures relating to the rule and a FINRA podcast relating to the rule. [read post]
