FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Slows Fines and Enforcement Actions
By Melanie WaddellB/Ds and reps saw fewer fines and enforcement actions in 2008
May 26, 2009
Be Careful What You Wish ForRecently, I attended the Fi360 Conference in Scottsdale. The conference was excellent, and as you might expect from a conference affiliated with the Foundation for...
April 27, 2009
FINRA proposes BrokerCheck expansionThe Financial Industry Regulatory Authority (FINRA) announced Monday it's proposing a major expansion of its BrokerCheck service to make records of final regulatory actions against...
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 14, 2009
FINRA Imposes VA Sales FineThe Financial Industry Regulatory Authority has taken disciplinary action in connection with allegations of inappropriate sales of variable annuities.
April 14, 2009
FINRA Imposes VA Sales FineThe Financial Industry Regulatory Authority has taken disciplinary action in connection with allegations of inappropriate sales of variable annuities.
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...