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Registered Rep. December 4, 2006 Kevin Burke	FIA Urges NASD Committees to Revise Merger Small broker/dealer firms are trying to slow the proposed merger between the NASD and NYSE Regulation, saying that it's being pursued too hastily and the consequences are not clear.
Registered Rep. December 1, 2006 Kevin Burke	SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all?
Registered Rep. March 1, 2007 Kevin Burke	The New SRO Plans for the NYSE/NASD regulatory consolidation are moving quickly toward an April 2 deadline. But executives question whether the proposed governance structure for the consolidated regulator could change the nature of regulation in the industry for the worse.
Registered Rep. December 6, 2006 Kevin Burke	FIA Calls for Schapiro to Resign Two groups of small broker/dealer firms are calling for Mary Schapiro to step down.
Registered Rep. October 1, 2006 Kevin Burke	Fight Club An insurgency of small brokerage firms has mounted an all-out assault against the NASD over an allegedly biased election process.
Registered Rep. January 22, 2007 John Churchill	Votes In, NASD and NYSE Merger Likely; Will Dissenters Challenge? The securities industry won't have dual self-regulatory organizations to complain about anymore. The NASD announced over the weekend that member firms overwhelmingly approved to consolidate the NASD and the NYSE into one.
Registered Rep. February 3, 2006 John Churchill	Dissidents Elected to NASD Board of Governors In an election victory that would make Ralph Nader, Ross Perot and other pot-stirring outsiders smile, two of three candidates running against NASD's leadership supported nominees have won seats on the self-regulator's National Board of Governors.
Investment Advisor January 2007 Kathleen M. McBride	A New SRO's in Town The move to consolidate the NASD and the NYSE, and their corresponding and sometimes conflicting sets of rules into one unified SRO has picked up momentum and a number of endorsements while also sparking a certain amount of controversy.
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
Registered Rep. March 12, 2007 John Churchill	NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause.
Registered Rep. February 1, 2006 John Churchill	Size-ism? Ten years after the formation of the Small Firms Advisory Board, many small firms say they are still getting pushed around by bigger firms -- and this time the NASD is taking the side of the bullies.
Registered Rep. May 29, 2008 John Churchill	Clearing Firm Faces SEC Charges, Small Firm Movement Tarnished Richard Goble, a leading critic of FINRA and vociferous supporter of gentler regulation for small brokerage firms, has been hit with serious charges of fraud from the SEC.
Wall Street & Technology January 6, 2006 Ivy Schmerken	Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms?
Registered Rep. March 9, 2006 Halah Touryalai	NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care?
Registered Rep. August 21, 2006 Kristen French	NYSE and NASD Hold Merger Talks It is not yet clear whether a deal will actually go through, or whether the financial regulators would merge their arbitration systems or keep them separate.
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
Registered Rep. February 1, 2006 John Churchill	Schapiro in, Glauber Out at NASD in 2007 Mary Schapiro, head of NASD Regulatory Policy and Oversight, will be taking over for Robert Glauber as chairman of the NASD at the end of the year. One tough cop replaces another.
Registered Rep. January 12, 2006 John Churchill	Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006.
Registered Rep. September 1, 2005 Karen Jones	Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?
Registered Rep. May 14, 2007 Kevin Burke	NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs.
Registered Rep. July 30, 2007 Halah Touryalai	FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official.
The Motley Fool November 29, 2006 S.J. Caplan	There's a New Sheriff Coming to Town The NASD and NYSE are to consolidate regulatory functions.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Registered Rep. April 1, 2005 Bill Singer	Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter.
Financial Planning February 1, 2007 Marshall Eckblad	5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.
Registered Rep. March 6, 2009 David A. Geracioti	Gadfly to FINRA: "Better," "Fairer" Regulation Please FINRA is challenged to a meeting to discuss restoring the partnership between the regulator and the regulated.
Financial Planning February 1, 2005 Steven K. McGinnis	Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects.
Registered Rep. September 3, 2003 David Gaffen	NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them.
Investment Advisor April 2007 Kara P. Stapleton	News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc.
Registered Rep. January 30, 2007 Halah Touryalai	At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers.
Registered Rep. August 17, 2005 Kevin Burke	NASD Tightens Noose on Hedge Fund Sales Practices A top National Association of Security Dealers official said on Wednesday that the regulatory agency has launched an investigation into brokers selling hedge funds to individual investors without alerting them to the potential risks.
Registered Rep. December 14, 2005 David A. Geracioti	NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators.
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
Registered Rep. April 8, 2003 Will Leitch	SIA Calls NASD Proposal Unfair The Securities Industry Association has weighed in negatively on the NASD's proposed changes to the handling of central registration depository (CRD) complaints.
Registered Rep. January 1, 2003 Bill Singer	Who Regulates the Regulators? In the securities industry, brokers are expected to follow the rules. If you don't, you will be held accountable by the NASD. But what do you do if the NASD doesn't follow the law?
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
Investment Advisor February 2007 Melanie Waddell	Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year.
Financial Planning December 1, 2011 Bob Veres	Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying.
Registered Rep. July 18, 2007 Halah Touryalai	Can't We All Just Get Along? FPA says FINRA Won't Do for NYSE/NASD It's back to the drawing board, again, for the National Association of Security Dealers. Its new name choice, FINRA, has been called too broad by the Financial Planning Association.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Registered Rep. July 1, 2005 Christopher O' Leary	The Fund Family That Said No While in the past few years many funds sued by regulators have been quick to settle, American, the second-largest fund family in the U.S. with $650 billion in assets is fighting back.
Registered Rep. August 28, 2002 Rick Weinberg	NASD Looks To Approve Broker, Brokerage Firm Use of Investment Analysis The NASD is looking to approve a proposal that would allow brokers and brokerage firms to provide clients with interactive investment analysis tools.
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
Registered Rep. March 17, 2003 Will Leitch	Unfair Disclosure For The Broker? In a little-publicized move, the NASD has formed a Public Information Review Initiative, which would radically expand investors' access to information about brokers.
The Motley Fool May 23, 2007 Selena Maranjian	Brokerage-Related Warnings There's a lot of information for investors at the NASD website. Here are a few topics about which it has recently issued alerts.
Registered Rep. January 1, 2006	60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record.
Registered Rep. November 4, 2004 David A. Gaffen	Serenity Reigns in Boca Raton Perhaps it was the recent victory of President Bush that heartened this business friendly crowd, or the tranquil Boca Raton setting, but the annual Securities Industry Association conference exudes an oddly serene tone.
Registered Rep. December 15, 2005 John Churchill	Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost.
Registered Rep. June 21, 2007 John Churchill	New Name, New Agenda for NASD/NYSE Entity SIRA stands for Securities Industry Regulatory Authority, which will be the largest self-regulatory organization in the world.
The Motley Fool July 18, 2007 Selena Maranjian	Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones.