Browsing Tag
FINRA
16 posts
FINRA Shuts Down B-D for Reg BI Breaches, Additional Violations
Owner and CEO suspended for a year as Melville, N.Y.-based firm made misrepresentations to customers and violated FINRA’s suitability and supervision rules
FINRA Report Highlights 4 Key 2023 Exam Priorities
New report on exam and risk monitoring program reflects new and evolving risks, industry trends, and noteworthy findings
Former Advisor Sentenced in Elder Fraud Scheme
He solicited funds by telling potential investors they would double, triple, or quadruple their investments
Former Advisor Gets 35-Year Sentence in $25 Million 401k Fraud
'He stole significant portions of investment contributions to fund his criminal enterprise and lavish lifestyle'
FINRA Again Postpones In-Person Arbitration Due to COVID
In response to the evolving coronavirus disease (COVID-19), FINRA has decided to administratively postpone all in-person arbitration and…
Reg BI and DOL Fiduciary Rule: Harmonizing Two Rules that Fulfill Lower Standards
Trust law is instructional to ERISA, and the Uniform Prudent Investment Act offers a definition of prudence. Both…
Cybersecurity Help for Advisors Working Remotely
As work processes adjust in response to COVID-19, FINRA issued a Cybersecurity Alert in late March urging member…
Coronavirus Leads FINRA to Push Business Continuity Plan Prep
Coronavirus seems to be impacting everything, which is why broker-dealer industry self-regulator FINRA is encouraging member firms to…
‘Save to Retire’ Gets Thursday Spotlight During America Saves Week
It’s “America Saves Week,” and as part of the national awareness campaign, Thursday, Feb. 27, is devoted specifically…
Heinz Field Event, AIF Trainings Headline Fi360’s National Fiduciary Day
Tuesday, Feb. 25 is National Fiduciary Day, and Fi360 is celebrating this year with an exclusive event in…