FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA OKs Variable Life Settlement Broker-Dealer
By Staff WriterThe Financial Industry Regulatory Authority has given Arbor Court Capital L.L.C. permission to conduct business as a broker-dealer in the secondary life insurance market.FINRA, Washington, ...
October 30, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 29, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 11, 2007
Help in Times of CrisisEmergency planning for broker/dealers may get a bit easier with the Small Firm Emergency Partner Program announced October 11 by the Financial Industry Regulatory Authority (FINRA). The program encourages small firms to select a partner that's located far away and who clears through the same clearing firm, and agree to...
October 01, 2007
What Troubles InvestorsAmerican investors have significant anxiety about the security of their investments, particularly as it relates to their retirement savings, according to a new FINRA report....
October 01, 2007
NEWS & PRODUCTS, OCTOBER 2007FINRA has fined AXA Advisors, LLC, $1.2 million for "failing to adequately supervise its fee-based brokerage business, and for distributing misleading sales literature for its...
September 27, 2007
FINRA Settles with Morgan StanleyMorgan Stanley & Co. will pay the Financial Industry Regulatory authority (FINRA) a total of $12.5 million on behalf of its "former affiliate" Morgan Stanley Dean Witter, (MSDW)according to a FINRA statement.
September 06, 2007
FINRA Fines Firm Over Fee-Based AccountsThe Financial Institutions Regulatory Authority says a member firm should have been more careful to ensure that customers enrolled in a fee-based brokerage account program ...