/* */

FINRA Arbitration Fees to Rise?

FINRA has asked the SEC to approve a round of fee increases in its dispute resolution forum as it looks to boost pay for its force of around 6,300 arbitrators. The increase could add up to $400 per case. FINRA has not increased fees for arbitrators in 14 years. The...

Surprise! Rule 2243 Pulled by FINRA

It’s back to the drawing board!! In a “surprise” move, FINRA has sent the controversial broker disclosure Rule 2243 back for revision. (The rule would have required brokers to tell clients about recruitment incentives they receive in excess of $100.000.) FINRA plans...

More Scrutiny Allowed by FINRA

FINRA’s board of governors approved a rule proposal on Thursday, February 14, that would impose new limits on financial advisors’ ability to remove information about customer disputes from BrokerCheck, the regulator’s online portal where investors...

FINRA Revives Broker Bonus Disclosure Plan

FINRA Board to also mull other ‘important considerations for a customer deciding whether to follow the rep to the new firm. A revised plan to require that brokers’ recruitment compensation be disclosed when they switch firms will be considered at the Financial...