FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA OKs Variable Life Settlement Broker-Dealer
By Staff WriterThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 01, 2007
NEWS & PRODUCTS, OCTOBER 2007FINRA has fined AXA Advisors, LLC, $1.2 million for "failing to adequately supervise its fee-based brokerage business, and for distributing misleading sales literature for its...
September 27, 2007
FINRA Settles with Morgan StanleyMorgan Stanley & Co. will pay the Financial Industry Regulatory authority (FINRA) a total of $12.5 million on behalf of its "former affiliate" Morgan Stanley Dean Witter, (MSDW)according to a FINRA statement.
September 06, 2007
FINRA Fines Firm Over Fee-Based AccountsThe Financial Institutions Regulatory Authority says a member firm should have been more careful to ensure that customers enrolled in a fee-based brokerage account program ...
September 05, 2007
FINRA Fines Firm Over Fee-Based AccountsThe Financial Institutions Regulatory Authority says a member firm should have been more careful to ensure that customers enrolled in a fee-based brokerage account program ...
September 01, 2007
FINRA Interim BoardThe Financial Industry Regulatory Authority (FINRA), the newly combined NASD-NYSE regulatory agency, announced the appointment of a 23-member Interim Board of Governors on August 2....
August 14, 2007
FINRA: Marketing Rules Can Coexist With Privacy RulesThe Financial Industry Regulatory Authority says insurers ought to be able to keep new reps from replacing existing customers' variable annuities without using the customers' ...
August 14, 2007
FINRA: Marketing Rules Can Coexist With Privacy RulesThe Financial Industry Regulatory Authority says insurers ought to be able to keep new reps from replacing existing customers' variable annuities without using the customers' ...