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Is the Great FINRA Purge Coming? | Wealth Management

FINRA’s Rule 4111 is starting to have major implications for reps with marks on their records and the b/ds that have historically welcomed them.

Sander resslerDochtor kennedyJennifer szaroJonathan henschenJodie papikeFinancial groupFinancial industry regulatory authority ruleNational securitiesEdge compliance outsourcing servicesHenschen associatesFinancial industry regulatory authorityEssential edge compliance outsourcing services

Report Finds No Evidence of Agreement Between Wells Fargo and FINRA

A law firm FINRA hired to investigate a Georgia arbitration dispute found 'no evidence' of a secret agreement between Wells Fargo counsel and FINRA.

United statesFulton countySander resslerEileen murphyBelinda edwardsChristopher geroldFred pinckneyJack ehnesJoan postellBrian leggettLancef drummondLinde murphyLowenstein sandlerTerry weissMichael edmistonFulton county superior court

Decade-Old Arbitration Dustup Continues to Haunt FINRA

Sen. Elizabeth Warren and Rep. Katie Porter are pressing the regulator after a Georgia judge called the fairness of its arbitration process into question.

United statesFulton countySander resslerWilliam cohanDaniel kolberLowenstein sanderBelinda edwardsElizabeth warrenChristopher geroldFred pinckneyBill singerBrian leggettIlene gormlyTerry weissBryan leggettRobert cook

Brokerages want remote office inspections to continue in new normal

For brokerages, the pandemic ushered in remote office inspections by Finra, something the industry wants to see continue in the new normal.

United statesSander resslerKen bentsen jrFidelity investmentsExchange commissionFinancial industry regulatory authority incEdge compliance outsourcing servicesFinancial markets associationFinancial industry regulatory authorityEssential edge compliance outsourcing servicesSecurities industry

FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications

FINRA announced a number of changes to its continuing education requirements, including that registrants must take CE requirements annually.

Sander resslerExchange commissionEdge compliance outsourcing servicesQualifications programFinancial industry regulatory authorityMaintaining qualifications programRegulatory elementEssential edge compliance outsourcing services

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