FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
May 28, 2008
Where can advisors and reps expect close regulatory scrutiny?Under qualified for oversight? Fines continue to rain down on firms for wrongfully using unregistered executives in key compliance supervisory positions. Research disclosure? FINRA...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 19, 2008
Don't play games with your CEContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by
May 01, 2008
NEWS & PRODUCTS, MAY 2008UBS Global Asset Management announced that its U.S. Pension Fund Fitness Tracker, a quarterly estimate of the overall health of a typical U.S. defined benefit...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...