FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Sets Fines
By Trevor ThomasThe Financial Industry Regulatory Authority says it has fined 5 bank broker-dealers a total of $1.65 million in connection with allegations of inadequate oversight of sales of variable annuities and other products.
June 30, 2009
This will go on your permanent recordFINRA wants to make its disciplinary actions permanently available to the public even if an offending advisor leaves the business.
June 03, 2009
FINRA Slows Fines and Enforcement ActionsB/Ds and reps saw fewer fines and enforcement actions in 2008
June 03, 2009
FINRA sanctioned far less in 2008, law firm reportsIt was a "slow year" for FINRA in 2008, according to one law firm's assessment. Sutherland Asbill & Brennan LLP released analysis Wednesday revealing FINRA -...
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
May 26, 2009
Be Careful What You Wish ForRecently, I attended the Fi360 Conference in Scottsdale. The conference was excellent, and as you might expect from a conference affiliated with the Foundation for...
April 27, 2009
FINRA proposes BrokerCheck expansionThe Financial Industry Regulatory Authority (FINRA) announced Monday it's proposing a major expansion of its BrokerCheck service to make records of final regulatory actions against...
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.