FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Rep Fined, Suspended for Not Disclosing Outside Business Activity

July 01, 2025

Rep Fined, Suspended for Not Disclosing Outside Business Activity
Ex-LPL Advisor Suspended After Family Named as Client's Beneficiaries

July 01, 2025

Ex-LPL Advisor Suspended After Family Named as Client's Beneficiaries
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors

June 26, 2025

Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat Messages

June 26, 2025

FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat Messages
FINRA Seeks to Align BD, Advisor Portfolio Performance Projections

June 25, 2025

FINRA Seeks to Align BD, Advisor Portfolio Performance Projections
House Passes Bill to Expand Accredited Investor Definition

June 24, 2025

House Passes Bill to Expand Accredited Investor Definition
PNC to Pay $200,000 for Lax Annuity Exchange Monitoring

June 18, 2025

PNC to Pay $200,000 for Lax Annuity Exchange Monitoring