Extra time needed to iron out complexities, prepare for coverage mandate.
Action related to Provident Royalties, found to be a Ponzi scheme.
Roper says rule fails to protect retail investors from potential scams; 'no credibility left'
Finra barred a broker over allegations that he stole $4.2 million from two clients, one of whom Finra says suffers from Alzheimer's disease.
Advancing on money market reform with unanimous commission gets praise.
Spoiler spoiler: Financial advisers must ensure that clients' IRA accounts will be shielded from bankruptcy court dunners.
SRO recorded substantial losses in 2012
A strong investment portfolio helped Finra turn a profit last year but operationally, the SRO remained in the deep in the red. Dan Jamieson reports.
Chairman says agency is neutral on how to fund exam expansion.
Says agency needs funds to boost oversight of advisers; first attempt died in '12.
Kiley sentenced to long jail term for part in $194M Ponzi scheme
Most observers doubt Congress can accomplish comprehensive tax reform before the end of 2014. But can the code be tweaked short of an overhaul? Supporters of a measure to abolish the estate tax hope so.
Radio host Ray Lucia for years asserted that he thoroughly tested his investment strategy. A judge this week ruled otherwise, ordering Lucia and his firm to pay hefty fines for making the claim.
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 hard look at agency's likely new chairman
