FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Federal Regulation

From FINRA Case, a Cautionary Tale on Immediate Annuities—Compliance Watch

By Elizabeth D. Festa
SEC, FINRA Exam Officials Lay Out Priorities, Areas of Concern

June 27, 2011

SEC, FINRA Exam Officials Lay Out Priorities, Areas of Concern
FINRA to Stay Aggressive, Focus on Structured Products—Compliance Watch

June 23, 2011

FINRA to Stay Aggressive, Focus on Structured Products—Compliance Watch
Why the Survival of Independent Advice Giving Is at Stake

June 23, 2011

Why the Survival of Independent Advice Giving Is at Stake
Morgan Keegan to Pay $200 Million Over Bond Fund Allegations

June 23, 2011

Morgan Keegan to Pay $200 Million Over Bond Fund Allegations
FINRA to Share Details on New Back-Office Staff Rules

June 20, 2011

FINRA to Share Details on New Back-Office Staff Rules
3 Lessons From Advisor’s FINRA Win Over BofA-Merrill

June 20, 2011

3 Lessons From Advisor’s FINRA Win Over BofA-Merrill
Three Lesson from FA’s $1.5 Mil FINRA Win Over Merrill

June 20, 2011

Three Lesson from FA’s $1.5 Mil FINRA Win Over Merrill