FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
B/D News & Products
By Staff WriterThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 14, 2009
FINRA Imposes VA Sales FineThe Financial Industry Regulatory Authority has taken disciplinary action in connection with allegations of inappropriate sales of variable annuities.
April 14, 2009
FINRA Imposes VA Sales FineThe Financial Industry Regulatory Authority has taken disciplinary action in connection with allegations of inappropriate sales of variable annuities.
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
March 31, 2009
SEC makes call on FINRA arbitration casesThe Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place. The new rule
March 30, 2009
FINRA sees flurry of arbitration, seeks REIT-related info.Things are getting hectic at FINRA. The regulator's statistics show arbitration claims jumped 90 percent through February versus the same month in 2008. According to...