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Finra's regulatory hires suggest it wants to watch over financial advisors, too, says a lobbyist.
A federal court order freezes the accounts of an investment firm luring investors on Twitter and Facebook.
An arbitrators group says Finra owns a database with critical information about brokers that it doesn't provide in BrokerCheck.
More stock fraud by big companies could be in store if a coming Supreme Court decision makes it harder for investors to file class action lawsuits, prominent Georgetown University Law Professor...
A former Merrill Lynch and Smith Barney broker, who is serving nearly three years in jail, is indicted on more fraud charges.
Public concerns about privacy have prompted Finra to scrap plans to collect the names, addresses and tax IDs of brokerage account holders to help with regulatory enforcement.
But the request is likely to be denied by a Republican House that has yet to comply with the president's SEC spending proposals.
The brokerage industry is hoping to head off a Finra proposal that would have the regulator capture and retain a huge amount of client account data for compliance purposes.
Mt. Gox, once the world’s largest Bitcoin exchange, filed for bankruptcy in Japan, and said that 850,000 Bitcoins belonging to its customers and the firm were missing.
Banks and trust officers could get tripped up over several pending regulatory developments as Dodd-Frank Act rule-making winds down, Phoebe Papageorgiou, senior counsel of the American Bankers...
Financial Advisor Blogs
Portfolio Manager Insights
Russia's power move in Ukraine is the slap and the so-called BRICs (Brazil, Russia, India and China) as an investment concept is the (now very much dead) belief. + Read more
Social Security is an income stream that has value, so shouldn’t that value be accounted for when constructing a portfolio? Columnist and advisor Dan Moisand answers that question, posed by a number of other advisors. + Read more