FINRA Board of Governors

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  FINRA to Hike BD Fees in Effort to Recoup ‘Significant Loss’

  By Melanie Waddell, AdvisorOne  |  April 27, 2012

  FINRA CEO Richard Ketchum told BDs that the broader economic downturn "has led to a decrease in FINRA’s revenues and resulted in a significant loss for fiscal year 2011.”

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  New Hire Roundup: SEC Welcomes Norberg; Fleming Joins FINRA Board

  By Marlene Y. Satter, AdvisorOne  |  January 19, 2012

  This week in new hires, Jane A. Norberg joined the SEC as deputy chief of the Whistleblower Office; Gregory J. Fleming was elected to FINRA's board of directors; Mike Anderson went to Securities America; and Dan Dorfman joined Trim Tabs Money Blog as a columnist.

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  The Advisor's Advocate

  By John Sullivan, AdvisorOne  |  January 1, 2012

  The beginning of a new year is always a good time to catch up with Dale Brown, president and CEO of the Financial Services Institute.