FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
August 14, 2007
FINRA: Marketing Rules Can Coexist With Privacy RulesThe Financial Industry Regulatory Authority says insurers ought to be able to keep new reps from replacing existing customers' variable annuities without using the customers' ...
August 14, 2007
FINRA: Marketing Rules Can Coexist With Privacy RulesThe Financial Industry Regulatory Authority says insurers ought to be able to keep new reps from replacing existing customers' variable annuities without using the customers' ...
August 02, 2007
FINRA Interim Board of Governors AnnouncedThe Financial Industry Regulatory Authority (FINRA), which is the newly combined NASD-NYSE regulatory agency, announced the appointment of a 23-member Interim Board of Governors on August 2. Members of the interim board will serve until the super-SRO's annual meeting on October 26, when elections will be held for a three-year...
July 13, 2007
For Super SRO, SIRA Doesn't Say It After AllThe new self-regulatory organization that, once approved by the SEC, will combine NASD and NYSE's regulatory arms, will have a different name than the one...