FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks Comments
By Allison BellThe Financial Industry Regulatory Authority is continuing to overhaul the rules that govern members' communications with the public.
September 03, 2009
FINRA Settles With 3 Firms Over SecuritiesThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.
September 01, 2009
Expert's Corner: It Beats Getting SuedIn connection with the recent economic and market meltdown, we have seen a significant increase in arbitration claims filed against fee-based investment advisors. So, what...
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Editorial comment: Digest thisFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past.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 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Editorial comment: Digest thisFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past.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.