Financial Industry Regulatory Authority

• Social Media for Company Announcements OK Within Limits: SEC

  By Michelle A. Samaad  |  April 4, 2013

  Commission says Facebook, Twitter use OK unless access is restricted or if investors don’t know that’s where they need to turn for news.

• SEC Clarifies Social Media Filing Rules for Investment Companies

  By Michelle A. Samaad  |  March 15, 2013

  Guidance update speaks to whether or not FINRA filing would be required.

• FINRA Launches Pilot Remediation-by-Phone Program

  By Melanie Waddell  |  January 17, 2013

  Participation in the pilot program, which began this week, is voluntary and open to cases involving claims of $50,000 or less, FINRA said.

• More SEC Officials to Leave Agency

  By Michelle A. Samaad  |  December 27, 2012

  On the heels of the announcement that SEC Chairman Mary Schapiro would be leaving the agency on Dec. 14, other officials followed suit.

• FINRA Goes Heavy on the Fines

  By Arthur D. Postal  |  August 20, 2012

  On pace to far exceed this year the number of fines and disciplinary actions against financial advisers it imposed last year.

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  Bonds Exit Stirs Up Mild Concern

  By Heather Anderson  |  July 16, 2012

  Two member credit unions say they aren’t running for the exits at Corporate America Credit Union following the July 3 announcement that CEO Thomas Bonds had resigned from the $3.3 billion corporate. However, they expressed disappointment and concern that the maverick and charismatic leader will no longer lead the Irondale,...

• FINRA Rules for SECU in Estate Case

  By Michelle A. Samaad  |  April 6, 2011

  After hearing both sides, a Financial Industry Regulatory Authority panel recently denied all claims made by the estate that was seeking more than $2 million against an investment adviser that worked for a broker-dealer acquired by SECU Brokerage Services Inc.

• FINRA Clears SECU Brokerage

  By Michelle A. Samaad  |  March 31, 2011

  After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.

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  CUs Can Help Shelter Members From Scams

  By Pat Huddleston, Investor's Watchdog LLC  |  March 16, 2011

  As investors recover from the economic meltdown of 2007 through 2009, they are anxious to find attractive investment returns.

• FINRA Weeds Through Brokerage Case With CU Ties

  By Michelle A. Samaad  |  February 23, 2011

  The Financial Industry Regulatory Authority may have a hard time deciding whether a defunct credit union-owned brokerage firm