FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Be Careful What You Wish For
By Bob Clark, Bob ClarkRecently, 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 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...
March 31, 2009
SEC makes call on FINRA arbitration casesThe Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place. The new rule
March 30, 2009
FINRA sees flurry of arbitration, seeks REIT-related info.Things are getting hectic at FINRA. The regulator's statistics show arbitration claims jumped 90 percent through February versus the same month in 2008. According to...
March 24, 2009
Ketchum: Investors need regulatory consistencyWhat we learned from Madoff is that it makes no sense for two independent regulatory bodies to oversee investment advisors and broker/dealers, Richard G Ketchum,...