Financial Industry Regulatory Authority (Finra)
Finra furthers US complexity debate
Finra's January notice warns firms to increase supervision on complex products and introduces notion of post-approval review
US SEC slams Finra for altering documents
Finra must improve after misleading regulator, order says
Finra fines UBS $12 million for failing to adequately supervise short sales
Fine from Finra is latest indicator of UBS's control and supervisory issues
SEC reveals fraud and abuse after Finra warns greedy investors
Triggering alarm bells
Editorial: A shot across the bows
Editorial: A shot across the bows
Update: SEC reveals fraud and abuse after Finra warns 'greedy' investors
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
Looking for true leverage
Structured Products Americas: education still hampering market development
A little knowledge
Structured products industry wary of fiduciary standards proposals
Fiduciary foreboding
Finra and Wall Street dismiss law firm's criticism of UBS case
Finra and Wall Street dismiss law firm's criticism of UBS case
'Media misinformation' is harming US structured products industry
A torrent of misinformation printed by the media and calls from plaintiff law firms for investors to bring claims is damaging the industry, according to structured product bankers and lawyers
Navigating the nuances of ETFs
Navigating the nuances of ETFs
Finra fines Lincoln Financial $600,000 for customer data failings
Finra fines Lincoln Financial $600,000 over info
SunGard launches social media surveillance
Financial services information technology vendor SunGard's social media offering to help with new compliance rules
German investors use ETF products as "short-term investment tools"
German investors use ETF products as "short-term investment tools"
Structured products face a battle of perception in the US
Forbidding landscape
Dallas star Larry Hagman awarded $11.5 million payout
Actor claims Citigroup breached fiduciary duty
Electronic trading: A key to achieving CDS reform
Electronic trading: A key to achieving CDS reform
Brokerage firm penalised for illicit high-frequency trading
Brokerage firm penalised for illicit high-frequency trading
Partially protected: Dodd-Frank Act spares structured products
Registered advantages
Social networking asks new questions of compliance
Companies must follow the varying demands of regulators in social networks, as markets have different obligations.
Seeking equivalence – the NAIC and EC take different stances on Solvency II
The European Commission is firm in its belief that the US insurance regulatory system needs a single figurehead in order to grant it equivalent status under Solvency II – a view not shared by American supervisors. Aaron Woolner reports