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11 Jul 2012, 1:46 pm
The SEC voted to require the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail that will significantly enhance regulators’ ability to monitor and analyze trading activity. [read post]
27 Feb 2023, 10:00 pm
The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the outer limits of self-regulatory organization (SRO) rulemaking authority. [read post]
3 Sep 2019, 1:16 am
The FINRA Foundation has announced an upcoming conference, Research Conference on The State of Financial Fraud in America. [read post]
15 Feb 2012, 9:00 am
Securities Arbitration Law firm announced that it will continue to investigate and pursue securities arbitration claims against Merrill Lynch and other firms on behalf of investors who sustained losses using the Financial Industry Regulatory Authority’s (“FINRA”) office of Dispute Resolution. [read post]
4 Apr 2017, 7:31 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field.Details are available at Indisputably - 2017 Securities Dispute Resolution Triathlon [read post]
21 Jan 2021, 6:18 pm
FINRA does deserve some real credit for attempting to improve the process. [read post]
14 Aug 2008, 6:53 am
Under the plan, the programs to prevent and detect insider trading will be centrally controlled by the Financial Industry Regulatory Authority (FINRA) and a [read post]
12 Jul 2012, 2:53 pm
The Financial Industry Regulatory Authority (FINRA), the self-regulatory arm of the U.S. securities brokerage industry, has issued an Investor Alert regarding the features and risks of exchange-traded notes (“U.S. brokerage regulator warns of ‘unpleasant surprises’ on ETNs,” by Stuart Gittleman, Reuters). [read post]
26 Aug 2010, 2:40 pm
Since July 2010, FINRA arbitrators have ordered brokerage units of Raymond James Financial to buy back from customers auction rate securities (ARSs) totalling $3.5 million (3 separate proceedings). [read post]
14 Nov 2007, 5:29 am
I have an article in this week's issue of The Deal on FINRA's new Rule 2290 entitled The Debut of Rule 2290. [read post]
7 Sep 2010, 9:21 am
The arbitration action before FINRA related to UBS' sale of student-loan auction rate securities to the company. [read post]
2 Sep 2009, 2:31 pm
Stephen Luparello, FINRA Vice Chairman, also made a Statement Before the SEC/CFTC Joint Meeting on Harmonization... [read post]
18 Dec 2008, 8:04 am
Schapiro is currently the Chief Executive Officer (CEO) of the Financial Industrial Regulatory Authority (FINRA) [organization website], an independent regulator of US securities [read post]
6 Apr 2012, 2:36 am
A FINRA arbitration panel recently ordered Merrill Lynch to pay two former brokers about $5 million in deferred compensation and tacked on an additional $5 million in punitive damages. [read post]
31 Aug 2015, 9:01 am
Stockbroker Wins Expungement Over AnnuitiesYesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs") switches. [read post]
30 Oct 2023, 6:17 am
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations (SEC Release) Statements by SEC Chair and Commissioners on Rule 192 CFTC FINRA = = = Financial Professionals Coalition, Ltd. [read post]
14 Jul 2022, 10:37 am
FINRA recently filed a proposed rule change with the SEC to "to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a 'Restricted Firm.'" A restricted firm is one that... [read post]
5 Jun 2012, 2:25 pm
Ketchum, Chairman and Chief Executive Officer, FINRA, testified today before the House Committee on Financial Services on H.R. 4624, the Investment Adviser Oversight Act of 2012. [read post]
20 Aug 2014, 12:00 pm
A Financial Industry Regulation Authority (FINRA) arbitration panel found Morgan Stanley liable... [read post]
31 Oct 2023, 10:00 pm
(FINRA), currently the only RNSA, must now adopt rules implementing the infrastructure for such reporting and dissemination. [read post]
