FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
IAA Applauds Removal of FINRA Provision from Regulatory Reform Bill
By Bob KeaneInvestment Adviser Association Executive Director David Tittsworth issued a statement of approbation.
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.
December 09, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
December 08, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
November 18, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.
November 17, 2009
FINRA to Expand BrokerCheck; Rep Info to Stay OnlineDisclosure records for former brokers will be available on BrokerCheck beginning November 30, FINRA says, and the records will remain online -- even if the rep leaves the industry.
November 17, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.