FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
State Farm Ends Ties To 3 After FINRA Action
By Trevor ThomasState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
February 26, 2008
FINRA Posts VA WebcastThe Financial Industry Regulatory Authority has developed an 8-minute-long video presentation on supervision requirements for deferred variable annuity recommendations.Visitors need Macromedia Flash 8.0 to watch ...
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...
February 01, 2008
Out to LunchCompete or comply? When it comes to the tried and true marketing strategy of meal-included seminars, FAs are feeling the heat of an intensifying spotlight...
February 01, 2008
Litigation A-Go-GoFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
January 29, 2008
Banc One Securities Fined By FINRAThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...
January 29, 2008
Banc One Securities Fined By FINRAThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...