FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Issues Communications Notice
By Staff WriterThe 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 ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 19, 2008
Don't play games with your CEContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by
May 01, 2008
NEWS & PRODUCTS, MAY 2008UBS 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 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...