Financial Industry Regulatory Authority

• 

  FINRA Warns on Bonds’ Duration Risk

  By Melanie Waddell, AdvisorOne  |  February 14, 2013

  FINRA issued an alert Thursday underscoring the importance of a bond’s duration risk in the current low-interest-rate environment.

• 

  FINRA Warning on BDCs Doesn’t Stop Market Vectors’ ETF Debut

  By Joyce Hanson, AdvisorOne  |  February 13, 2013

  Despite FINRA's January warnings on high-risk business development companies, Market Vectors has launched the first-ever ETF to offer pure-play BDC exposure.

• 

  FINRA Shifts SRO Fight to Senate, as House Effort Falters

  By Melanie Waddell, AdvisorOne  |  February 7, 2013

  With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.

• 

  FINRA Seeks Second Round of Comments on Markups, Commissions Plan

  By Melanie Waddell, AdvisorOne  |  February 5, 2013

  After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.

• 

  FINRA Issues Top 10 Watch List for 2013

  By Melanie Waddell, AdvisorOne  |  January 18, 2013

  ETFs and variable annuities are among the 10 products and regulatory areas in the regulator’s sights.

• 

  FINRA Launches Phone Mediation

  By Melanie Waddell, AdvisorOne  |  January 17, 2013

  FINRA announced Wednesday that it has launched a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation.

• 

  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

• 

  New Hire Roundup: Commonwealth’s Tedesco Honored

  By Marlene Y. Satter, AdvisorOne  |  December 12, 2012

  This week in new hires,Commonwealth Financial tech guru Darren Tedesco was named to the 2013 Premier 100 IT Leaders list; Todd Scharf was named CTO by the SEC; and more.

• 

  NASAA Fires Off Warning as Crowdfunding Accelerates

  By Melanie Waddell, AdvisorOne  |  December 7, 2012

  With the number of crowdfunding Internet domains jumping from 900 to 8,800 since the beginning of the year, NASAA sees big potential for abuse.

• 

  As Schapiro’s Departure Nears, Other SEC Execs Resign

  By Melanie Waddell, AdvisorOne  |  December 5, 2012

  Within the last two days, three top executives at the agency have announced their planned departures: Robert Cook, Meredith Cross and Mark Cahn.