Tag Archives: FINRA

Demystifying social media for broker-dealers: 6 updates to FINRA guidance

Keeping up with the pace of change in social media is difficult for everyone. For broker-dealers, remaining in compliance with regulatory guidance is particularly difficult. Customers are constantly demanding more and more channels for online communication. Conforming to regulatory record-keeping … Continue reading →

Fleeing the Darkness: Will Transparency Change Dark Pools Forever?

dark pool

Private exchanges for trading securities are generally known as dark pools.  Operators and users assert that they bring costs down by providing anonymity when executing large trades.  Those lower prices are, in turn, passed on to average investors. They primarily … Continue reading →

5 Financial News Stories You May Have Missed: My Computer Takes the Fifth

5 Financial News Stories

This week: SIFIs, CAMELS, the Fifth Amendment, and some pretty salty language. Continue reading →

Waiving Class-Action Rights – The Battle Continues

Class Action

Can financial institutions require clients to waive their class-action rights? The U.S. Supreme Court answered this question in the affirmative in a 2011 decision, but now the matter may be under judicial review. The outcome could change the nature of … Continue reading →

5 Financial News Stories You May Have Missed – And a Penalty Flag

1.The Dog Ate My Regulation. The Fed is Late Delivering the Volcker Rule. When the financial reform was being discussed shortly after the credit crisis, former Fed Chairman Paul Volcker suggested that federally insured banks should not be allowed to … Continue reading →

5 Financial News Stories You May Have Missed – With a New England Win

This week: Merrill Lynch, Barclays, Lloyds Banking, Credit Suisse, Royal Bank of Scotland, HSBC, Bo Brownstein, Amro Holding--and a player to be named later. Continue reading →

5 Financial News Stories You May Have Missed — And Shrinkage

This week in financial news: hedge funds, forex, private equity funds, Gupta, and chartered banks. Continue reading →

5 Financial Services Stories You May Have Missed — The Effects of FX

This week: NY Attorney General, Bank of New York Mellon, Bank of America, House Financial Services Committee, UBS, rogue traders, SEC, FINRA, sub-accounts. Continue reading →

5 Financial Services Stories You May Have Missed — And a Rogues Gallery

We've rounded up the top five recent news stories on the world of banking that were easy to miss, but may have some lasting impact. Continue reading →