FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Seminars and credentials go under the microscope
By David HollanderNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading
March 31, 2008
Seminars and credentials go under the microscopeNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading
March 27, 2008
FINRA Implements Rule Easing Sales Lit Review StandardsThe Financial Industry Regulatory Authority Inc. has changed some investment product sales literature approval requirements.FINRA, Washington, has issued a document, Regulatory Notice 08-12, which amends ...
March 13, 2008
Regulator Warns Consumers On Reverse MortgagesAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...
March 13, 2008
Regulator Warns Consumers On Reverse MortgagesAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
March 01, 2008
Know Your ClientOne of the great joys of being a financial advisor is the opportunity it provides to develop a close relationship with your broker-dealer's compliance department....