FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement Roundup: FBI Hunts Fugitive Advisor
By Marlene Y. SatterIn recent enforcement actions, an advisor on the lam who defrauded clients of nearly $40 million had his assets frozen by the SEC, and FINRA launched a pilot program for large arbitration cases.
July 03, 2012
FINRA Rule 2111: The Broker-Dealer ViewCommonwealths Paul Tolley talks about the challenges of implementing FINRAs new suitability rule on the selling of securities like variable annuities.
July 03, 2012
FINRA Rule 2111: The Broker-Dealer ViewCommonwealths Paul Tolley talks about the challenges of implementing FINRAs new suitability rule on the selling of securities like variable annuities.
July 02, 2012
New FINRA Suitability Rule to Take Effect July 9More client information is required and investment strategy recommendations are covered under the new rule.
July 02, 2012
New FINRA Suitability Rule to Take Effect July 9More client information is required and investment strategy recommendations are covered under the new rule.
June 27, 2012
FINRA and SEC Warn About Annuity RisksFINRA is looking closely at disclosure, suitability and yield-chasing practices associated with VAs.
June 26, 2012
The Heat Rises on FINRA as Advisor SROJust as a government watchdog is pressuring the Securities and Exchange Commission (SEC) to beef up its oversight of the Financial Industry Regulatory Authority (FINRA), Congress is mulling whether to give FINRA the power to oversee advisors.
June 26, 2012
FINRA and SEC Warn About Annuity RisksFINRA is looking closely at disclosure, suitability and yield-chasing practices associated with VAs.