FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Industry Backs FINRA's Delay Of Some Rule 2821 Provisions
By Arthur D. PostalThe 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 ...
November 20, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Arbor Court Capital L.L.C. permission to conduct business as a broker-dealer in the secondary life insurance market.FINRA, Washington, ...
November 20, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Arbor Court Capital L.L.C. permission to conduct business as a broker-dealer in the secondary life insurance market.FINRA, Washington, ...
November 06, 2007
FINRA Posts Text Of VA Compliance RuleThe Financial Industry Regulatory Authority has published the text of a rule that will govern broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.The U.S. ...
November 06, 2007
FINRA Posts Text Of VA Compliance RuleThe Financial Industry Regulatory Authority has published the text of a rule that will govern broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.The U.S. ...
October 30, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 29, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 11, 2007
Help in Times of CrisisEmergency planning for broker/dealers may get a bit easier with the Small Firm Emergency Partner Program announced October 11 by the Financial Industry Regulatory Authority (FINRA). The program encourages small firms to select a partner that's located far away and who clears through the same clearing firm, and agree to...