FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Fight the Power
By Elizabeth D. FestaEver wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer,...
June 15, 2008
SEC Seeks Public Comments On FINRA VA Rule ChangesThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...
June 15, 2008
SEC Seeks Public Comments On FINRA VA Rule ChangesThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe 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 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe 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 ...