Finra has gotten the go-ahead to issue a monthly letter divulging complaints against reps. Not surprisingly, this doesn't sit well with some brokers.
Industry group is wary of the SEC's information-seeking request
A House bill would require the Labor Dept. to coordinate with the SEC in devising a rejiggered standard. Some experts say such 'coordination' could spell the end of the department's plan. Here's why.
Mandatory arbitration has been generating plenty of headlines lately, but SEC Commissioner Elisse Walter says the regulator won't be addressing the subject any time soon.
The pressure is mounting to get rid of mandatory arb contracts. The latest: State regulators are urging the SEC to toss a Finra ruling that upheld Charles Schwab's use of the waivers.
Apparently, deferrals on 'blank slate' of Baucus and Hatch; robbing Peter to pay Paul?
Finra claims StateTrust charged unfair prices in 563 transactions
The two helped set up program targeting advisers who give preferential treatment to clients.
Finra has killed its proposal requiring reps and firms to provide a URL to BrokerCheck on their sites and social- media pages.
