FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA cracking down on use of ghostwritten material
By Staff WriterAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 01, 2008
FINRA Teams With IFEBPThe Financial Industry Regulatory Authority is working with the International Foundation of Employee Benefit Plans to help protect companies and older workers from early retirement ...
July 01, 2008
NEWS & PRODUCTS, JULY 2007Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...
July 01, 2008
Fight the PowerEver wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer,...
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...
June 15, 2008
SEC Seeks Public Comments On FINRA VA Rule ChangesThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...