FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Schapiro should be good for seniors
By David HollanderPresident Obama's pick to head the Securities and Exchange Commission is Mary L. Schapiro, Esq. -- the first woman to serve as the agency's permanent chairman. The appointment comes at a tumultuous time in the financial world and
March 01, 2009
Broker/Dealer Briefing: A Shot Over the BowThe regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
January 15, 2009
Schapiro's 'light touch' leaves scarsI'd hate to see her heavy touch. The Wall Street Journal reports on Mary Schapiro's time at the NASD and as head of FINRA, attempting...
December 03, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 02, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 01, 2008
B/D Briefings News & ProductsAmeriprise Financial, Inc. announced that it has completed its all-cash acquisition of H&R Block Financial Advisors from H&R Block. The more than 950 H&R Block...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...