The snowstorm that walloped most of the East Coast last week did not deter Finra's board from meeting in New York and moving on important investor issues.
Jill Wile said she was retaliated against and terminated for making discrimination claims against her boss.
CEO and COO also ordered to pay $175,000 in penalties .
<i>Breakfast with Benjamin:</i>The Bond King: China's a big risk. Plus: JPMorgan goes on a settlement binge, finance industry tells investors to stay calm, Obama administration catches a CBO boomerang, and some healthy balance sheets for the New Year.
Finra has proposed a rule that could give arbitrators more authority in referring cases for disciplinary action.
Practice may interfere with arbitrators' ability to determine appropriateness of expungement, Ketchum says.
Employee benefits and tax, retirement and estate planning must be discussed under Finra rule, compliance expert says.
New Fed chief invests primarily in index funds and blue chip stocks. What can we learn about the policymaker from a peek at her investment choices?
The Senate vote of 56-26 to confirm Yellen means she garnered even less support than outgoing Chairman Ben S. Bernanke.
Proposed rule would require brokers to factor in fees and commissions when listing share prices on client account statements; if approved by the SEC, rule change would do away with the $10-a-share listing price.
WJB Capital Group Inc. and two of its top executives settled allegations that it masked the firm's financial difficulties and traded securities without sufficient capital during the two years before it shuttered its doors in January.
Some optimistic, others skeptical about plan to scrap the automatic per-share value of $10.
Department wants to make sure investors are protected when given more latitude in picking investments .
High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
How much do wholesalers know about advisers? And what are they telling the competition?
Sheryl Rowling dishes on how technology helped her firm managed through a recent examination by the Securities and Exchange Commission. It made a difference.
A new SEC plan to target advisers who have never undergone formal compliance examination is drawing support from advisers.
President Obama's voluntary '"myRA" proposal, with no option to invest in stocks, could be doomed to failure, advisers say. The plan "isn't going to go anywhere," according to one skeptic. <i>(Don't miss these <a href="http://www.investmentnews.com/gallery/20140123/FREE/123009998/PH" target="_blank">tips for a worry-free IRA rollover</a>.)</i>
Two companies filed this week, seeking funds that don't report daily.
