FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker/Dealer Briefing: A Shot Over the Bow
By James J. GreenThe regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
December 02, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 01, 2008
B/D Briefings News & ProductsAmeriprise Financial, Inc. announced that it has completed its all-cash acquisition of H&R Block Financial Advisors from H&R Block. The more than 950 H&R Block...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...
October 01, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
September 30, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
September 01, 2008
Senior fraud cases on fast trackFINRA is increasing the pace of investigations and enforcement actions against advisors who defraud older investors, according to the Wall Street Journal. FINRA's goal is to protect seniors against unscrupulous financial advisors who take