FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Settles With 3 Firms Over Securities
By Trevor ThomasThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.
September 01, 2009
Expert's Corner: It Beats Getting SuedIn connection with the recent economic and market meltdown, we have seen a significant increase in arbitration claims filed against fee-based investment advisors. So, what...
August 24, 2009
Editorial comment: Digest thisFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past. Annuity professionals need to factor awareness about this into operations at multiple levels.
August 24, 2009
Editorial comment: Digest thisFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past. Annuity professionals need to factor awareness about this into operations at multiple levels.
August 07, 2009
FINRA Pans VUL StrategyThe Financial Industry Regulatory Authority has imposed a $100,000 fine on an insurer-affiliated investment firm over a former broker's strategy for selling variable universal life insurance.
August 07, 2009
FINRA To Update Media RegsThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 07, 2009
FINRA Pans VUL StrategyThe Financial Industry Regulatory Authority has imposed a $100,000 fine on an insurer-affiliated investment firm over a former broker's strategy for selling variable universal life insurance.