FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA To Annuity Firms: We Are Watching You
By Staff WriterThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 01, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
NEWS & PRODUCTS, JUNE 2008A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...
May 28, 2008
Where can advisors and reps expect close regulatory scrutiny?Under qualified for oversight? Fines continue to rain down on firms for wrongfully using unregistered executives in key compliance supervisory positions. Research disclosure? FINRA...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 19, 2008
Don't play games with your CEContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by