Growth in Dual Registrants Makes Sense: FINRA CEO
By Melanie WaddellRobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.
May 19, 2026
FINRA Launches Structured Notes SweepThe regulator is zeroing in on Reg BI obligations tied to non-principal protected "worst-of" structured notes.
May 14, 2026
Reg BI Cases Keep IncreasingFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 08, 2026
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRANeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.