FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Expert's Corner: It Beats Getting Sued
By Thomas D. GiachettiIn 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 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.
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 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
August 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
July 27, 2009
Financial services leaders not happy with FINRA's new adsFinancial services industry leaders are voicing their disapproval of FINRA's new ad campaign, saying the advertisements shed a negative light on the role of...