FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Addresses Settlements
By Trevor ThomasThe 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.
July 24, 2009
FINRA Sets FinesThe Financial Industry Regulatory Authority says it has fined 5 bank broker-dealers a total of $1.65 million in connection with allegations of inadequate oversight of sales of variable annuities and other products.
July 24, 2009
FINRA Sets FinesThe Financial Industry Regulatory Authority says it has fined 5 bank broker-dealers a total of $1.65 million in connection with allegations of inadequate oversight of sales of variable annuities and other products.
July 01, 2009
This will go on your permanent recordFINRA wants to make its disciplinary actions permanently available to the public even if an offending advisor leaves the business.
June 30, 2009
This will go on your permanent recordFINRA wants to make its disciplinary actions permanently available to the public even if an offending advisor leaves the business.
June 03, 2009
FINRA Slows Fines and Enforcement ActionsB/Ds and reps saw fewer fines and enforcement actions in 2008
June 03, 2009
FINRA sanctioned far less in 2008, law firm reportsIt was a "slow year" for FINRA in 2008, according to one law firm's assessment. Sutherland Asbill & Brennan LLP released analysis Wednesday revealing FINRA -...
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...