来自MSN1 个月
Circuit Court Overturns Alpine’s Expulsion. Challenge to Finra’s Authority Remains.
A federal appellate court has blocked brokerage industry self-regulator Finra from expelling a previously sanctioned broker without a review of the case by the Securities and Exchange Commission.
WealthManagement.com1 个月
FINRA Says It Can 'Address' Court's Demands in SEC Oversight Ruling
While FINRA decides whether to appeal a circuit court panel’s ruling that it cannot speedily expel reps without SEC oversight, the regulator believes it can “implement measures” to meet the ...
Think Advisor9 天
Edward Jones, Cambridge and Osaic to Pay Clients $8.2M Over Excess Fees
The Financial Industry Regulatory on Friday ordered Edward Jones , Osaic Wealth and Cambridge Investment Research to pay more ...
Reason1 个月
DC Circuit Finds Some FINRA Authority Violates Private Nondelegation Doctrine
Judge Millett wrote the 41-page opinion for the panel in Alpine Securities Corp. v. FINRA, joined by Chief Judge Srinivasan. Judge Walker concurred in the judgment in part and dissented in part ...
Forbes6 个月
Why Banks And Brokerage Firms May Be Ordering Workers To Return To The Office
Now, the financial institutions are scaling back remote work options, although FINRA claims the banks’ decisions run counter to the motivations behind the new rules. “Our new Residential ...