FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Puts Parts Of Sales Rule For VAs On Hold
By Arthur D. PostalThe 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 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...
April 15, 2008
Caution urged in wake of latest FINRA sweepsFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine
April 14, 2008
Caution urged in wake of latest FINRA sweepsFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...