FINRA Rule 5270 Overview FINRA rule 5270 is one of a series of regulations that helps to ensure that brokers and market makers execute transactions[...]
FINRA Rules
In the modern world, the overwhelming majority of registered financial advisors make their clients sign customer agreements. Within these agreements, you will likely find a[...]
For the most part, investor complaints against brokerage firms and financial advisors are resolved either through informal negotiation, mediation or FINRA arbitration. Should their claim[...]
If you are an investor and you have a claim against your broker or brokerage firm, you will likely be required to go through FINRA’s[...]
Discretionary accounts are trading accounts in which a broker is empowered with the authority to make individual transactions without seeking client approval. When operating these[...]
FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. For the most part, this type[...]
This article was originally published by Reuters.com. FINRA – the industry-financed overseer of brokerages – knows which firms tend to employ advisers with histories of[...]
In the modern world, most brokers and brokerage firms require their customers to sign a customer agreement before entering into a relationship. Typically, that agreement[...]
FINRA Rule 8210 allows FINRA officials to compel industry members, including registered financial advisors and brokerage firms, to cooperate with investigations. Indeed, under the rule,[...]
Brokers and brokerage firms each owe their clients a fiduciary duty. This means that they have a professional obligation to always put the best interests[...]