FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, Suspension
By Dinah Wisenberg BrinThe advisor didn't notify his firm or receive approval to accept the bequest, according to FINRA.
May 15, 2025
FINRA to Raise $100 Gift LimitThe regulator also plans to codify looser rules on personal gifts.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
FINRA Rules Need 'Constant' Attention: CEO CookThe regulator plans to overhaul outdated rules and embrace "continuous" change, Robert Cook said at FINRA's annual conference.
May 09, 2025
FINRA Suspends Rep for Unsuitable Annuity SwitchesThe rep recommended that customers exchange their existing variable annuities for a higher-cost L-share contract.
May 09, 2025
FINRA Working to Modify Firms' SEC Texting SettlementsFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
April 30, 2025
FINRA Seeks to Streamline Reporting Rules on Outside ActivitiesSome advisors say the rule's new framework takes away some administrative burdens and adds others.