Year in Review: Crowdfunding Round Up for 2013 It is the afternoon…
Read MoreOpen for Comment: FINRA’s Funding Portal Rules
With all the noise about the proposed set of rules for crowdfunding…
Read MoreFINRA Cracking Down on “No Fee” Advertising
FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
Read MoreFINRA’s Conflicts of Interest Report: Bridging the Great Divide?
FINRA issued a report on conflicts of interest within the broker-dealer industry…
Read MoreFINRA Approves Revamped Broker Compensation Proposal
On September 19, FINRA’s Board of Governors approved a proposal that would…
Read MoreNew Report: FINRA Fines Trending Downward
FINRA fines are significantly lower for the first half of 2013, according…
Read MoreFINRA Conducting Social Media “Sweeps”
FINRA is currently conducting “spot checks” of how broker-dealers are policing social…
Read MoreNew FINRA Arbitrator Rules Take Effect July 1
FINRA’s new rules for arbitrators will take effect on July 1, 2013.…
Read MoreLPL Learns the Hard Way: Make Sure You Save Those Emails
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million…
Read MoreFINRA Enforcement Set to Break Records
FINRA is on pace to break its own enforcement records, based on…
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