FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
August 24, 2009
Editorial comment: Digest thisFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past. Annuity professionals need to factor awareness about this into operations at multiple levels.
August 07, 2009
FINRA Pans VUL StrategyThe Financial Industry Regulatory Authority has imposed a $100,000 fine on an insurer-affiliated investment firm over a former broker's strategy for selling variable universal life insurance.
August 07, 2009
FINRA To Update Media RegsThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 07, 2009
FINRA Pans VUL StrategyThe Financial Industry Regulatory Authority has imposed a $100,000 fine on an insurer-affiliated investment firm over a former broker's strategy for selling variable universal life insurance.
August 07, 2009
FINRA To Update Media RegsThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
August 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.