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Washington, DC — The Financial Industry Regulatory Authority (FINRA) today published guidance to firms on a new rule covering transactions in deferred variable annuities. FINRA Regulatory Notice 07-53 outlines the provisions of Rule 2821, which will become effective on May 5, 2008.
Deferred variable annuities are hybrid investments containing both securities and insurance features. They offer
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1 million for submitting mutual fund breakpoint data to FINRA that the firm knew to be inaccurate, as well as for related supervisory deficiencies. FINRA also ordered the firm to engage an independent consultant to evaluate its policies, systems and procedures
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the results of elections to fill seven industry seats on its 23-member Board of Governors. The elections were conducted at FINRA's first-ever Annual Meeting on October 26. The newly elected Governors will serve three-year terms.FINRA is the non-governmental self-regulatory agency formed in July by the
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
In 2020, a surge of new investors entered U.S. securities markets for the very first time, and the FINRA Foundation and its research partners at NORC at the University of Chicago jumped into action to get to know just exactly who these investors were. Two years later, they followed up to see where those investors are now. On this episode, we hear more.
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
WASHINGTON – FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA’s Sales Practice Examination, Risk Monitoring and Membership Application Programs in
The Neutral Corner—Volume 2, 2020
Mission Statement
FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office)
Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator)
FINRA Dispute Resolution Services and FINRA News
Name Change to FINRA Dispute Resolution Services
COVID-19 Hearing Postponements and
While we all hope our marriages will be successful, sometimes life just doesn’t go as planned. Consider these 6 important tips about divorce and your investments.
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REQUEST FOR COMMENT
EXECUTIVE SUMMARY
The NASD requests comment on proposed amendments to Article IV, Section 3 of the NASD By-Laws