FINRA

• SEC, FINRA Warns Investors of Pension Income Stream Risks

  By Michelle A. Samaad  |  May 10, 2013

  Investors wanting to sell their rights to an income stream or investing in one that belongs to someone else need to be aware.

• 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.

• Charlotte Metro FCU Revamps Investments Services

  By Michelle A. Samaad  |  February 6, 2013

  The $290 million credit union in Charlotte, N.C., said MEMBERS Financial Services is now Charlotte Metro Investment Services.

• 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.

• Local Regs Reason for Severing Client Relationships: Report

  By Warren S. Hersch  |  January 14, 2013

  Study shows 77% of senior financial services managers would consider ending relationships because of compliance concerns.

• Elisse Walter to Become New SEC Chairman

  By Michelle A. Samaad  |  November 27, 2012

  A current SEC commissioner who has worked at the agency in several capacities, Elisse Walter has been tapped to become the new SEC chairman.

• 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.

• FINRA Fee Increases May Raise Sticker Price on Financial Advice

  By William H. Byrnes, Esq., and Robert Bloink, Esq., LL.M.  |  August 2, 2012

  FINRA’s proposed 25% increase in the fees that it collects from financial service firms may become a reality within the next few months.

• Brokers, Get Ready: Suitability Rule Set to Take Effect

  By Staff Writer  |  July 6, 2012

  FINRA suitability recommendations for brokerages are coming into effect July 9.

• People in the News

  By Staff Writer  |  June 18, 2012

  People in the News