FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Annuity update: If FIAs are not securities, what about FINRA 05-50?
By Jack MarrionOn July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 24, 2010
Morgan Stanley Adds Team From Wells Fargo, Faces FINRA FineMorgan Stanley Smith Barney recently recruited a team of financial advisers from Wells Fargo Advisors, which followed a fine by the Financial Industry Regulatory Authority (FINRA) over disclosure rules.
August 24, 2010
Morgan Stanley Adds Team from Wells, Faces FineBoca Raton-based advisor team with $100 million-plus in assets joins MSSB a few days after FINRA fined the broker-dealer $800,000.
August 19, 2010
FINRA Sticks With Securities in Suitability ProposalThe Financial Industry Regulatory Authority is leaving "non-securities" products out of a proposed suitability rule update.
August 18, 2010
FINRA Sticks With Securities in Suitability ProposalThe Financial Industry Regulatory Authority is leaving "non-securities" products out of a proposed suitability rule update.
August 16, 2010
FINRA's Members Elect New Governors, Approve Proxy ProposalsMember firms of the Financial Industry Regulatory Authority (FINRA) have elected seven governors, and have supported seven non-binding proxy proposals, the organization announced.
August 13, 2010
SEC, NASAA, FINRA Update Best Practices for Serving SeniorsAs the number of elderly Americans is expected to more than double by 2050, the SEC, FINRA, and NASAA have updated a joint report outlining practices being used by financial services firms.
August 01, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.