FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Advances Bonus Disclosure Plan for Brokers
By Melanie WaddellFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
December 14, 2012
FINRA clarifies ‘customer’ and ‘investment strategy’ terms under suitability ruleThe clarifications are updates to FINRA's Regulatory Notice 12-25, which was issued in May and provides guidance on the rule in a frequently asked questions format.
December 14, 2012
FINRA clarifies ‘customer’ and ‘investment strategy’ terms under suitability ruleThe clarifications are updates to FINRA's Regulatory Notice 12-25, which was issued in May and provides guidance on the rule in a frequently asked questions format.
December 13, 2012
FINRA Clarifies ‘Customer’ and ‘Investment Strategy’ Terms Under Suitability RuleFINRA on Tuesday clarified what the terms customer and investment strategy mean under its suitability rule, which became effective on July 9.
December 10, 2012
FINRA Reaches for Feedback on Broker Comp Disclosure RuleFINRAs board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.
December 03, 2012
FINRA keeping busy with enforcing annuity sales misdeedsSuitability sales issues continue to be an problem for an aging nation, and the NAIC has weighed in after a Government Accountability Office (GAO) report warning on suitability questions involving insurance and investment product sales to veterans.
December 02, 2012
FINRA keeping busy with enforcing annuity sales misdeedsSuitability sales issues continue to be an problem for an aging nation, and the NAIC has weighed in after a Government Accountability Office (GAO) report warning on suitability questions involving insurance and investment product sales to veterans.
November 29, 2012
SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing AssetsThree top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the funds assets during the financial crisis.a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...