FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Issues Ghostwriting Guidance
By Staff WriterThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 01, 2008
NEWS & PRODUCTS, MAY 2008UBS Global Asset Management announced that its U.S. Pension Fund Fitness Tracker, a quarterly estimate of the overall health of a typical U.S. defined benefit...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...