FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
NEWS & PRODUCTS, MAY 2008
By Staff WriterUBS Global Asset Management announced that its U.S. Pension Fund Fitness Tracker, a quarterly estimate of the overall health of a typical U.S. defined benefit...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...
April 15, 2008
Caution urged in wake of latest FINRA sweepsFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine