Financial Advisor (July 2, 2018) --
After decades of criticism, Finra is finally clearing up the mystery surrounding where the fine money it collects actually goes. The self-regulatory organization…
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In the Media
Financial Advisor IQ ( June 1, 2018) -- A bill aimed at ensuring unpaid Finra arbitration awards get paid now has bipartisan backing, which improves its chances of going forward, experts tell…
Financial Advisor (May 31, 2018) --
A moderate Republican has signed on to Sen. Elizabeth Warren’s bill requiring the Financial Industry Regulatory Authority Inc. to create a fund that pays…
InvestmentNews (May 30, 2018) --Legislation requires Finra to establish a fund, financed by its own fine money, to cover amounts firms and brokers fail to pay.
Bipartisan backing for legislation…
Financial Advisor (May 25, 2018) --The CFP Board of Standards and state securities regulators are among the groups that have sent a letter to Securities and Exchange Commission Chairman Jay Clayton…
U.S. News (May 25, 2018) --Be disciplined, tune out the markets and if you make a mistake, fix it and move on.
AFTER HOURS OF deliberation, you did it: You shelled out $200 for a new pair of Nikes (…
Financial Advisor IQ (May 24, 2018) -- Anthony Diaz – a registered broker-dealer for 14 years before he was barred from the industry – is a poster child for two serious problems faced by Finra: bad…
Financial Advisor IQ (May 18, 2018) --Does Finra’s online BrokerCheck tool do more harm than good? The answer to that question depends on who you’re asking.
Many broker-dealers have voiced the…
InvestmentNews (May 2, 2018) --Finra hearing officers will be looking for patterns of bad behavior in arbitration cases when imposing discipline on brokers.
Brokers facing Finra disciplinary action…
Wealth Management (May 01, 2018) --The DOL missed the deadline to file for a rehearing in the Fifth Circuit Court of Appeals, meaning the Court’s decision to vacate the fiduciary rule stands.
The…