FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Caution urged in wake of latest FINRA sweeps
By Staff WriterFINRA -- 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, ...
April 01, 2008
Seminars and credentials go under the microscopeNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading
April 01, 2008
FINRA and SEC Look to Build BridgesKeeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...
April 01, 2008
Caveat VendorIt began with nothing but the best intentions: Financial advisors wanting to reap higher yields for their retail clients -- and in the process also...
March 31, 2008
Seminars and credentials go under the microscopeNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading
March 27, 2008
FINRA Implements Rule Easing Sales Lit Review StandardsThe Financial Industry Regulatory Authority Inc. has changed some investment product sales literature approval requirements.FINRA, Washington, has issued a document, Regulatory Notice 08-12, which amends ...
March 13, 2008
Regulator Warns Consumers On Reverse MortgagesAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...