Academic

FINRA Rules
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA)...

FINRA Conducts CMO Sweeps
What might be another case of too little, too late, FINRA has finally gotten around to conducting examinations in the mortgage backed securities area.While these products have been around for years, and have always been confusing and almost mystical to the average investor, some firms have been using them for years without incident...

FINRA - Investor Advocate
Has anyone noticed the new FINRA advertising campaign - "FINRA - a not for profit resource with nothing for sale" is the tagline. They are doing television ads, radio spots, even sponsored pay per click links on web pages...

FINRA, Formerly NASD, Gets Serious About Enforcing Fines
Since just about the beginning of time, FINRA (formerly NASD) fines were viewed as a mere nuisance by out-of-business firms and former registered persons. FINRA has been criticized in the past for not collecting regulatory fines or fees from arbitration proceedings...

FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
In an apparent effort to make sure that everyone really, really, really understands that FINRA does not trust its own arbitrators, FINRA's Board of Governors approved a rule proposal that would impose expungement procedures requiring arbitrators to take specific steps, including issuing a written explanation, before recommending expungement of information related to arbitration cases from a registered person's Central Registration Depository (CRD) record...

FINRA Investor Arbitration Statistics Reveal 49% Increase In Claims Filed
FINRA, the Financial Industry Regulatory Authority, has revealed its Dispute Resolution Statistics through October 2008. As expected, the statistics show a surge in arbitration claims filed through October compared to October 2007...