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  • $100,000 LPL Fine Underlines Importance Of Archiving Emails

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Actiance Unveils LinkedIn Static Content Pre-Approval Workflow Capabilities In Its Social Media Management And Compliance Solution

  • Ameriprise Fined $50,000 For Waiting Two Years To Punish Broker Who Forged Paperwork

  • Another IBD Bites the Dust

  • Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs

  • Bachus Backtracks After Democrats Introduce Bill Saying SEC Should Regulate RIAs; A Surprising Turn Of Events But Debate Will Likely Drag Into 2013

  • Bachus-McCarthy Bill Exempts Those With Wealthier Clients, Leaving Small Firms To Bear The Bulk Of The Burden

  • Banks, Congress Still Bickering Over Consumer Finance Bureau

  • Barred Brokers Often Go On Selling Insurance, BrokerCheck Reveals

  • Bill To Make FINRA The SRO For RIAs Reintroduced, Sparking Protest In Some Quarters And Approval In Others

  • Board of Governors Authorizes FINRA To File Recruitment Compensation Proposal With SEC

  • Broker Auditor Gets Green Light To Charge Big Players More

  • Broker Says Record That Shows Investor Complaints Totaling $1.4 Million Should Be Expunged Out Of Fairness And A California Appeals Court Agrees

  • Brokerage Frms Chafe At Social Networking Limits

  • Brokers Balk At Expanding FINRA's BrokerCheck Reports

  • Business Professor Urges Third-Party Audits Instead Of An SRO For Advisors

  • Can Google Regulate Financial Advisors?

  • Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis

  • Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay

  • Cybersecurity Top Risk For Financial Firms

  • Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It

  • Draft House Bill Shows Congress Is Leaning Toward An RIA SRO

  • Due Diligence Fracas Widens As REIT Suitability Prompts Big FINRA Charges

  • Edward Jones Distanced Itself From Rogue Advisor - But Was It Fast Enough?

  • Explaining Complex Products Is Crucial, As Santander's $2 Million Fine Proves

  • Failed CapWest Private Placements Continue To Plague Colorado Ex-Broker

  • Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients

  • Fighting The Regulators Pays Off For A Shocking Number Of Firms Accused Of Misconduct

  • Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard

  • FINRA Announces Escalation of High-Risk Broker Program

  • FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group

  • FINRA Chief Says Making Jon Corzine Take His Exams Like Everyone Else Would Have Been 'Mindless'

  • FINRA Comes Up Short In Examination By Government Accountability Office

  • FINRA Conducting Swath Of Investigations To Get To Know Broker-Dealer Practices

  • FINRA Considers Proposal Mandating Greater Consumer Access To BrokerCheck Through Web Links

  • FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate Rules

  • FINRA Disciplinary Database Suffers A Glitch

  • FINRA Finds Investor Suit Against Unrelated Brokerage Firm "Frivolous"

  • FINRA Fines UBS $2.5 Million Plus Restitution For Failed "Principal Protection" Notes

  • FINRA Foes Look To The Supreme Court To Lay Down The SRO Law

  • FINRA Gets A Cease And Desist Order From The SEC: Stop Faking Documents

  • FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial For Failure To Protect Confidential Customer Information; RIAs Should Also Pay Attention

  • FINRA Is Pushing For Disclosure Of Signing Bonus Deals To Clients...And Why Shouldn't They?

  • FINRA Issues New Guidance On Use Of Social Media

  • FINRA Launches New Wave Of Private Placement Crackdowns

  • FINRA Moves Forward On Controversial Fund/Advisor Revenue-Sharing Disclosure

  • FINRA Opens Comment Period On Compensation Disclosure Rule That Would Include Disclosing Signing Bonuses To Clients

  • FINRA Opens Up Disciplinary Database To The Public

  • FINRA Pulls Proposal To Eliminate 5% Rule As A Result Of Commentary

  • FINRA Puts SRO Priority On Back Burner, Noting Little Momentum In Congress In Support Of The Measure

  • FINRA Reissues Controversial Business Practice Rules Of 2010

  • FINRA Reprimands A Member Of Its Own Board

  • FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines

  • FINRA Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers

  • FINRA Shuts Down California Broker Linked To Online Penny Stock Manipulation Scheme

  • FINRA Slapped With Age Bias Lawsuit

  • FINRA Spent More Money Lobbying Congress Last Quarter, But Guess Who Spent Five Times As Much

  • FINRA's Annual Regulatory And Examination Priorities Are Helpful To RIAs As Well As BDs And Their Registered Reps

  • FINRA's Ketchum, With "Mindless Regulator" Comment, Indicates FINRA Needs A New Leader

  • FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"

  • Five Compliance Areas To Focus On For In 2012

  • Giving Corzine A Free Pass On His Registrations Gives FINRA Another Black Eye

  • Government Accountability Office (GOA) Says FINRA Should Review 10 Of Its Rules

  • Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts

  • If You Get A Letter Of Inquiry From FINRA, The Best Action Is To Answer It

  • Lincoln Financial Advisor Defamation Case Highlights The Limitations Of Brokercheck

  • Merrill Lynch Fined $1.4 Million For Sale Of "Worthless" Securities

  • Michael Oxley Registers To Lobby For FINRA To Regulate RIAs

  • New Bill Will Propose FINRA As Industry SRO

  • New Privacy Laws Being Passed By A String Of States May Conflict With FINRA Social Media Rules

  • No Supreme Court Ruling On Claims The NASD Lied To Create FINRA

  • No Surprise: FINRA Still Wants Oversight Over RIAs

  • Planners Expect Higher Regulatory Costs From Either The SEC Or FINRA - But They'd Prefer The SEC

  • Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator

  • Raymond James Disappointed By $1.7 Million Annuities Fine

  • Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records

  • Researching The Advisor Tied To The Soccer Mom Who Allegedly Ran A Prostitution Ring Shows Why FINRA BrokerCheck Stinks And Why SEC And FINRA Are Not Trusted

  • RIA Fires Google Apps After Google Notifies Advisor Of A 15-Month Failure In Gmail's Archiving System; Gmail Archiver Accidentally Deleted Messages It Was Supposed To Retain

  • RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs

  • RIAs Can't Be Consumer Advocates If They Disregard SEC Advertising Rules By Using Social Media Apps Without Archiving Their Posts

  • RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted

  • Rogue Sales Assistant Costs Citigroup $500,000 In FINRA Fines

  • Schwab Is Instituting Automatic Suitability Warnings On Exchange Traded Notes (ETNs)

  • SEC Wants Data And Comments About Harmonization Of The Rules Governing The Way RIAs Deliver Advice Versus Broker-Dealers

  • SIFMA Demanding That Breakaway Advisors Repay Their Retention "Loans"

  • Sizing Up The Powerful Forces Aligned To Fight Making FINRA The SRO For RIAs

  • Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals Face From Unregulated Use Of Twitter, Facebook, And LinkedIn

  • SRO Bill Introduced In The House Will Likely Fail In The Senate

  • SRO Fight Heats Up And May Be Turning As The Threat Of Job Losses Catches Congress's Ears

  • Stung By Sharp Criticism, FINRA Vows Changes In Its Examination Protocols

  • Summarizing The Current Position Of Stakeholders In Decision On Naming FINRA To Oversee RIAs

  • Summit Investigates Former Affiliate For Potential Embezzlement

  • SWS Undaunted By FINRA Fine, Raises $100 Million In New Equity

  • U.S. Chamber Of Commerce Argues That SEC Needs Streamlined, FINRA Needs Reined In

  • Wells Fargo Advisor Who Bilked At Least A Dozen Clients Makes Front-Page News In Today’s New York Times

  • Wells Fargo Slapped For Sluggish Client Communications, Advisor Record Updates

  • Why Do So Few RIAs Accept Finra's Invitation To Administer Arbitrations With Clients? It Might Not Be Just Because They Don't Like Finra

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