FINRA

Technology advancements aside, navigating the new regulatory requirements still takes work.

The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.

Her fresh criticism comes after FINRA barred her former Morgan Stanley branch manager this week.

Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

FINRA plans to unveil a new user interface for its central registration depository system on June 30.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.