FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
New FINRA Plan Allows BDs to Market Performance Projections
By Melanie WaddellThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 21, 2026
Osaic Forerunner Wins Major FINRA Case Tied to Ex-BrokerThe case involved tens of millions in damage claims that Triad Advisors failed to adequately supervise James Walesa.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.