Financial Industry Regulatory Authority

• Obama picks Mary Jo White to lead SEC

  By Julie Pace  |  January 24, 2013

  President Barack Obama will nominate Mary Jo White to lead the Securities and Exchange Commission, tapping an attorney with broad experience in prosecuting white-collar crimes to lead an agency that has a central role in implementing Wall Street reform.

• FINRA issues Top 10 watch list for 2013

  By Melanie Waddell, AdvisorOne  |  January 18, 2013

  FINRA notes that retail investors have been challenged to find attractive returns within their risk tolerance, while increasingly shifting funds from equity to debt markets.

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  Financial professionals embracing social media

  By Paula Aven Gladych  |  January 10, 2013

  Financial companies are finally starting to leap on the social media bandwagon, and retirement advisors are beginning to follow suit.

• FINRA orders $10.7 million restitution from mutual fund vendor

  By Paula Aven Gladych  |  December 28, 2012

  The Financial Industry Regulatory Authority has ordered a New Jersey company to pay more than $10.7 million in restitution, plus interest, to customers who placed mutual fund orders with Pruco Securities, LLC, via facsimile or paper orders from late 2003 to June 2011 and received an inferior price for their...

• SEC official Elisse Walter chosen to lead agency

  By The Associated Press  |  November 26, 2012

  President Barack Obama has chosen Elisse Walter, one of five members of the Securities and Exchange Commission, to lead the agency after Chairman Mary Schapiro leaves next month.

• Schapiro stepping down

  By Marcy Gordon  |  November 26, 2012

  Mary Schapiro will step down as chairman of the Securities and Exchange Commission next month after a tumultuous tenure in which she helped lead the U.S. government's regulatory response to the 2008 financial crisis.

• Post-election climate will resolve SRO, fiduciary issues

  By Melanie Waddell  |  October 18, 2012

  Dood-Frank, the tax treatment of retirement plans and the fate of the DOL's Borzi will all be certainties for discussion in early 2013.

• Insurers to Feds: You have no jurisdiction

  By Arthur D. Postal  |  August 23, 2012

  Trade groups say they support the idea of the Consumer Financial Protection Bureau, but the agency has no real jurisdiction over insurers or agents.

• Oversight board calls first report on B/D audits 'disturbing'

  By Melanie Waddell  |  August 20, 2012

  The new watchdog says auditors are failing to provide an independent check on B/Ds' financial reporting and compliance with SEC rules

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  Financial advisors potentially subject to greater oversight

  By John Vaughn and Christopher Rowlett  |  August 15, 2012

  The Investment Advisers Oversight Act of 2012 could see some serious changes ahead for the industry - but will more scrutiny be in the best interest of the public?