FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...
June 15, 2008
SEC Seeks Public Comments On FINRA VA Rule ChangesThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...
June 15, 2008
SEC Seeks Public Comments On FINRA VA Rule ChangesThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 01, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
NEWS & PRODUCTS, JUNE 2008A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...