FINRA rules addressing conflicts of interest relating to the publication of equity research reports become effective on September 25, 2015, or December 24, 2015.
I have written before about some of FINRA’s procedural processes that seem strange and unfair.
FINRA has made no secret of its interest in broker compensation, and the potential conflicts of interest that can be generated by some types of compensation practices.
The SEC has approved amendments to FINRA Rule 1250 that permit the Regulatory Element of a broker-dealer’s continuing education program to be fulfilled through a web-based platform.
On July 31, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the consolidated FINRA rulebook.
The FINRA Board of Governors election results are in. There were three vacancies among the 10 seats reserved for industry representatives: one Large, one Mid-Size, and one Small Firm Governor.
Later this month, on July 30th, FINRA will hold its annual meeting in Washington, D.C., during which it will conduct an election for three open seats on its Board of Governors.
The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory agency that regulates broker-dealers and their agents, recently launched a series of 15-second television commercial spots to promote their website.
There are lots of FINRA rules, so many that some don’t get the attention they deserve because others, like the suitability rule or the supervision rule, generally hog the limelight.
I’m not sure that I’m as excited as Navin Johnson was when the new phone books were delivered — https://www.youtube.com/watch?v=-7aIf1YnbbU – but I was pretty happy when FINRA published its 2014 Year in Review and Financial Report.