by Patrick M. Kelly | Mar 16, 2012 | FINRA, Technology
FINRA hopes to eliminate administrative delays in the filing by firms of continuing membership applications. When a broker-dealer has an operation, change of ownership, or control change, they are required to file a continuing membership application (the 1017 process)...
by Patrick M. Kelly | May 20, 2011 | FINRA
The Financial Industry Regulatory Authority has launched a free searchable database of disciplinary actions against brokers. According to Financial Advisor online magazine, users can search for actions by case number, document text and action date, individual name and...
by Patrick M. Kelly | Apr 1, 2011 | FINRA, RIA
There has been a “rumble” since January when the SEC announced that FINRA would soon be regulating RIA’s and fiduciary standards would apply to broker-dealers. Most of the RIA’s seem pleased about a uniform standard of conduct, but cautionary about the prospect of...
