Financial industry regulatory authority (finra)
Finra furthers US complexity debate
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Finra's January notice warns firms to increase supervision on complex products and introduces notion of post-approval review
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Finra must improve after misleading regulator, order says
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Fine from Finra is latest indicator of UBS's control and supervisory issues
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More Financial industry regulatory authority (finra) articles
SEC reveals fraud and abuse after Finra warns greedy investors
Original headline:
The US Securities and Exchange Commission has published the results of its latest investigation into the selling of structured products, two days after Finra warned 'greedy' investors to take care. Richard Jory reviews the documents and courts opinion...
Editorial: A shot across the bows
Original headline:
While financial markets dither and dive over the notoriously brittle and news-hungry summer months, there remains one certainty, and that is the constant stream of directives, dictats and guidance from regulators. They are everywhere and in every form...
Update: SEC reveals fraud and abuse after Finra warns 'greedy' investors...
Published online only
The US Securities and Exchange Commission has published the results of its latest investigation into the selling of structured products, two days after Finra warned 'greedy' investors to take care
Looking for true leverage
Original headline:
A budding player in the exchange-traded fund field, Garrett Asset Management in the US aims to bring innovation and flexibility to investors. Founder Elliot Noma speaks to Sarah Nowakowska about Finra-friendly buy-and-hold ETFs
Structured Products Americas: education still hampering market development...
Original headline:
Education emerged once more as the most vital ingredient for the successful development of the market, according to the majority of speakers at the Structured Products Americas conference. Equal attention was paid to regulation, while the product of the...
Structured products industry wary of fiduciary standards proposals
Original headline:
A report by the US Securities and Exchange Commission in January that paves the way for the implementation of a fiduciary standard for broker-dealers has left the structured products industry bracing itself for changes to how it conducts its business....
Finra and Wall Street dismiss law firm's criticism of UBS case
Original headline:
The law firm representing investor claims against UBS has called the fine imposed on the bank "paltry", but its criticisms have been dismissed by industry participants
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