FINRA

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  FINRA Reaches for Feedback on Broker Comp Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  December 10, 2012

  FINRA’s board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.

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  FINRA Boosts Transparency in TBA Market

  By Marlene Y. Satter, AdvisorOne  |  November 15, 2012

  FINRA has begun disseminating transaction information for the TBA market, which represents more than $270 billion traded on an average daily basis in 8,400 trades.

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  Resolved: FINRA Should Review These 10 Outdated Rules

  By Brian Rubin, Deborah Heilizer and Susan Krawczyk  |  July 20, 2012

  FINRA should heed the advice of a recent GAO report and revisit these rules, which the authors humbly suggest either no longer work as intended, or have effectively been replaced by other rules or guidance. In response to the GAO recommendation,

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  NAPFA: 8 Ways FINRA Oversight Will Hurt Indie Advisors

  By Joyce Hanson, AdvisorOne  |  June 5, 2012

  NAPFA has sounded the alarm against House Financial Services Chairman Spencer Bachus’ bill calling for a SRO to oversee advisors.

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  FINRA’s 5 Key Enforcement Trends to Watch in 2012

  By Melanie Waddell, AdvisorOne  |  March 16, 2012

  The significant jump in fines issued by FINRA in 2011 provides a look into the top areas that the regulator will be focusing on in 2012, according to the law firm Sutherland Asbill & Brennan.

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  FINRA’s Top 5 Enforcement Issues of 2011

  By Melanie Waddell, AdvisorOne  |  March 12, 2012

  A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.

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  FINRA to Restructure BrokerCheck, Giving Investors More Power

  By Melanie Waddell, AdvisorOne  |  March 2, 2012

  Proposed changes include not only unifying BrokerCheck and the SEC’s IAPD system, but also divulging broker/advisor test scores.

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  FINRA Fines Barclays Capital on Subprimes

  By Marlene Y. Satter, AdvisorOne  |  December 23, 2011

  FINRA has fined Barclays Capital $3 million for misrepresenting delinquency data and for inadequate supervision in connection with the issuance of RMBS.

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  FINRA Warns BDs on Use of Senior Designations

  By Melanie Waddell, AdvisorOne  |  November 18, 2011

  FINRA is warning BDs to ensure that their supervisory procedures regarding use of certifications and designations in advising senior investors are in order, as protecting vulnerable customers continues to be a high regulatory priority for FINRA.

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  FINRA Warns Investors to Beware of Gold Stock Scams

  By Joyce Hanson, AdvisorOne  |  August 24, 2011

  In an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.