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Topic: FINRA/NASD

FINRA Proposes Raising Gift Limit

August 19, 2016
Twenty-four years may seem like a long time to some, but apparently not to FINRA, which this month proposed increasing its limit on gifts provided by broker-dealers from $100 to $175 to account for inflation. Itís the first such increase in the gift limit since 1992.

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New FINRA Chairman Elected

July 22, 2016
John Brennan, chairman emeritus of the Vanguard Group, was on July 15 unanimously elected chairman of FINRA by the organizationís board of governors.

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IAA to Gallagher: More SEC Examiners Best Way to Get More Advisers Examined

June 20, 2014
Donít send a broker-dealer examiner to do an adviser examinerís job.

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Existing Broker-Dealer SROs Could Examine Dually Registered Advisers: Gallagher

May 16, 2014
Is it the camel's nose under the tent?

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Broker-Dealer Registration: Know What's Required Before You Act

March 21, 2014
You know the Robert Frost poem about the person confronted with two paths in a wood and how choosing the less-traveled one made all difference? Advisers facing the choice of whether to register as a broker-dealer should carefully consider what lies ahead before walking down what, for them, will be the less-traveled broker-dealer path.

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Elections Over, FINRA Back on Adviser SRO Warpath

November 30, 2012


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FINRA Offers Its Arbitration Forum to Advisers

November 11, 2012


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Gallagher Questions Role of SROs as Regulators, Whether FINRA Should Be Seeking Adviser Oversight

October 14, 2012


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FINRA Raises Fees for Continuing Membership Applications

August 3, 2012


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Did You Know? FINRA Offers Guidance, Too

May 31, 2012


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FINRA Mulls Allowing Reps to Expunge Records

May 31, 2012


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FINRA’s Role and Response in the MF Global Failure - A Tale of Four Regulators

May 31, 2012


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No-Action Relief Adds Certain Derivatives to Net Capital Calculation

May 31, 2012


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FINRA Sanctions Four Firms $9.1 Million in Connection with Sales of Leveraged and Inverse ETFs

May 31, 2012


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Ketchum Outlines FINRA Compliance Priorities for the Year Ahead

May 31, 2012


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Special Double Issue – Focus on FINRA

May 31, 2012


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Changing of the Legal Guard at FINRA

May 10, 2012


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The Latest Adviser SRO Threat – A Call To Arms

May 7, 2012


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FINRA Sanctions Survey Shows a 51% Jump in 2011 Fines

March 31, 2012


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FINRA’S Tough Row to Hoe

December 30, 2011


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