FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Know Your Client
By Bill MillerOne of the great joys of being a financial advisor is the opportunity it provides to develop a close relationship with your broker-dealer's compliance department....
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...
February 01, 2008
Out to LunchCompete or comply? When it comes to the tried and true marketing strategy of meal-included seminars, FAs are feeling the heat of an intensifying spotlight...
February 01, 2008
Litigation A-Go-GoFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
January 29, 2008
Banc One Securities Fined By FINRAThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...
January 29, 2008
Banc One Securities Fined By FINRAThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...
January 16, 2008
FSI's Murphy Upbeat About '08New Financial Services Institute (FSI) Chairman Brian Murphy is upbeat about the organization's agenda for 2008. Murphy is looking to "carry on" the work of his predecessors at FSI, which has been an effective advocate for the independent broker/dealer community, especially with lawmakers and regulators.
January 13, 2008
Industry Backs FINRA's Delay Of Some Rule 2821 ProvisionsThe life insurance industry is voicing support for the Financial Industry Regulatory Authority's decision to delay the effective date of certain provisions of a new ...