FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
December 14, 2009
Editor's Choice for the Week of December 14, 2009: A Snub to FINRA, Mixed Economic MessagesWhat's happening this week.
December 11, 2009
IAA Applauds Removal of FINRA Provision from Regulatory Reform BillInvestment Adviser Association Executive Director David Tittsworth issued a statement of approbation.
December 11, 2009
FINRA Provision Deleted From Reform BillThe provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11.
December 11, 2009
House Approves Financial Reform BillThe full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.
December 09, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
December 08, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
November 18, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.
November 17, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.