FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
Read MoreNew Report: FINRA Fines Trending Downward
FINRA fines are significantly lower for the first half of 2013, according…
Read MoreFINRA Enforcement Set to Break Records
FINRA is on pace to break its own enforcement records, based on…
Read MoreFINRA Taking a Closer Look at Conflicts of Interest: Are You Prepared?
The Financial Industry Regulatory Authority (FINRA) wants to know how you identify…
Read MoreFINRA Wants to Make It Easier To Clear Your Good Name
The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new…
Read MoreWhat Were FINRA’s Top Enforcement Priorities for 2011?
In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority…
Read MoreMerrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes
As we discussed last week, when advisers switch firms, it can often…
Read MoreFINRA Outlines Top Enforcement Priorities for Broker-Dealers
The Financial Industry Regulatory Authority recently released its regulatory and examination priorities…
Read MoreAdviser Update: Will FINRA and the SEC Be the New Dynamic Duo?
Advisers can expect the relationship between the Securities and Exchange Commission and…
Read MoreFINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year
Advisers should be aware that changing firms could lead to legal headaches,…
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