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In the Media
JDSupra (March 21, 2022) - As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA). For those unfamiliar with ongoing developments at…
Financial Advisor IQ (March 17, 2022) - More than three dozen groups are urging the department to revise the exemption put in place in 2020 that allows firms to collect revenue-sharing fees.
The …
Financial Advisor (March 16, 2022) - A coalition of 40 consumer and investor advocate groups asked the U.S. Department of Labor to hasten the agency’s promised updates of its fiduciary rule to…
Wealth Management (March 16, 2022) - In a letter to the Labor Department, groups ranging from the Consumer Federation of America to the AFL-CIO urged the DOL to strengthen the fiduciary protections…
JD Supra (March 10, 2022) - As we approach year three of the COVID-19 pandemic, FINRA Dispute Resolution’s arbitration hearings are being heard both in-person and via Zoom. I think FINRA has done a…
Financial Advisor (March 10, 2022) - Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with…
ThinkAdvisor (March 10, 2022) -
What You Need to Know
Warren and Rep. Katie Porter are pressing Cook to answer questions by March 22.
Independent review raises new concerns about the extent of…
Financial Advisor (March 9, 2022) - A new bill introduced by Sen. Sherrod Brown, chairman of the U.S. Senate Banking, Housing and Urban Affairs Committee, would prohibit broker-dealers and other…
Seeking Alpha (March 9, 2022) - FINRA stands for the Financial Industry Regulatory Authority, Inc. and it is an independent, self-regulatory organization that oversees member brokerage firms and…
Financial Planning (March 8, 2022) - Is FINRA showing its teeth? Look closely.
Last year, the Financial Industry Regulatory Authority, the self regulator of the brokerage industry, levied…