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Total: 50 results found.

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1. Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts
(Matching tags: RIA compliance,regulation,RIAs,yen,Dodd-Frank,fiduciaries,FINRA,advisor industry people)
The U.S. Department of Labor, in a complaint filed yesterday in U.S. District Court, alleges an advisor used more than $3.2 million of the retirement savings of workers from multiple employers for personal ...
Thursday, May 17, 2012
FINRA plays a significant role in alerting the SEC to insider trading infractions. As an industry watchdog, the regulatory group gathers information on firms even beyond their broker-dealer scope to ...
Friday, May 04, 2012
3. RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted
(Matching tags: RIA compliance,RIAs,SRO,NAPFA,Congress,Dodd-Frank,fiduciaries,FINRA,sec)
When news broke last Wednesday about the reintroduction of legislation that would make FINRA the regulator of RIAs, all of the advisor trade publications covered the story. Financial Planning even issued ...
Tuesday, May 01, 2012
The introduction last week of a bill that could make FINRA the industry’s SRO may not matter that much in the scheme of things. This is because the Senate has become known for killing House bills. ...
Monday, April 30, 2012
5. FINRA Reprimands A Member Of Its Own Board
(Matching tags: regulation,FINRA,SRO)
During the same week that a House bill was reintroduced by Financial Services Chairman Spencer Bacchus that could pave the way for FINRA to become the financial services industry’s self-regulatory ...
Friday, April 27, 2012
6. Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis
(Matching tags: Dodd-Frank,FINRA,securities fraud,sec)
The research of an industry critic who correctly predicted the fall of the thrift industry and of Enron says the 2008 credit crisis was caused by a web of fraud by mortgage originators, securitizers, ...
Thursday, April 26, 2012
The campaign to make FINRA the self-regulatory organization for Registered Investment Advisers was renewed today as House Financial Services Chairman Spencer Bachus reintroduced legislation that would ...
Wednesday, April 25, 2012
Conflicting stories about a former rep that are now costing Lincoln Financial $2 million, but there's no trace of them in FINRA's publicly accessible database. That's probably a good thing.  ...
Monday, April 16, 2012
9. New Bill Will Propose FINRA As Industry SRO
(Matching tags: compliance,regulation,FINRA)
A Republican bill that would make FINRA the regulatory body for investment advisors may soon come on the floor. Republican Spencer Bachus is drafting the legislation and is expected to introduce it to ...
Monday, April 16, 2012
10. Schwab Is Instituting Automatic Suitability Warnings On Exchange Traded Notes (ETNs)
(Matching tags: FINRA,sec,suitability,volatility,Schwab)
... FINRA is looking into the way ETNs are marketed to investors, especially after the value of a popular ETN designed to track the volatility of the market lost significant value. ...
Monday, April 02, 2012
11. AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA
(Matching tags: investment fiduciaries,competitors,RIAs,broker-dealers,independent broker-dealers,compliance,CFP Board,Dodd-Frank,fiduciaries,FINRA,sec,SIFMA)
After years of positioning, the debate over establishing a single fiduciary standard for FINRA-licensed registered representatives and investment advisor representatives alike is finally coming down to ...
Friday, March 30, 2012
12. Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients
(Matching tags: regulation,compliance,Dodd-Frank,fiduciaries,FINRA)
Many of your clients are acting in a fiduciary manner and may not even know it, says Don Trone, who created the Global Fiduciary Strategist (GFS) standard. Trone offers practical advice as your clients ...
Tuesday, March 27, 2012
13. Five Compliance Areas To Focus On For In 2012
(Matching tags: FINRA,compliance,regulation)
Fines increased 51% in 2011 on advisors who fall short of FINRA’s regulatory guidance. Fourteen percent more were forced out of the industry. This points to the need for firms to beef up their ...
Monday, March 19, 2012
FINRA's proposal to give retail investors more disclosure on broker records is getting some blowback from those who don't want their test scores and other historical details made public.  ...
Thursday, March 15, 2012
FINRA BrokerCheck is asking for comments on how to improve disclosures about licensed securities salespeople—brokers. But it’s hard to take FINRA’s request seriously because FINRA’s ...
Thursday, March 08, 2012
Investor claims against their advisors have reached the point where some will sue to be made whole simply because their portfolio's value declined. But one recent FINRA case went the other way.  ...
Thursday, March 01, 2012
FINRA is requesting comment on ways to boost investor use of BrokerCheck, the self-regulatory agency’s website where consumers can find a broker’s disciplinary and employment history.   ...
Thursday, February 23, 2012
Timing is everything. Merrill Lynch has been ordered to pay an investor $1.4 million to replace securities that may -- or may not -- have already been worthless by the time they were sold.
Tuesday, February 07, 2012
FINRA, in its annual letter to broker-dealers listing regulatory and examnation priorities, says private placements and enhanced-yield products, remain top concerns, but the list does not stop there.  ...
Monday, February 06, 2012
Do you think advertising disclosure rules are unnecessarily complicated? Unfair? How would you improve them? Here’s your chance to let the Securities and Exchange Commission know your ideas for making ...
Thursday, January 19, 2012
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