FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Names New Enforcement Chief
By Melanie WaddellBill St. Louis succeeds Jessica Hopper, who stepped down in February.
August 16, 2023
FINRA Adopts Stricter Expungement RulesRequests for "straight-in" expungements will now have to be heard by a special roster of arbitrators.
August 11, 2023
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' AnnuitiesOne affected client had dementia and another had suffered a traumatic brain injury, according to the Justice Department.
August 08, 2023
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying DocumentsTwo ex-reps forged clients' signatures, and one provided falsified checks and bank statements to regulators, FINRA said.
August 08, 2023
FINRA Lists Ric Edelman's Digital Asset Certificate as Professional DesignationFinancial professionals who complete the 15-credit course can now display the CBDA credential.
August 01, 2023
FINRA Posts Life Settlement Guide for ConsumersThe organization warns of concerns but says policy sales might make sense for some.
July 28, 2023
Judge Throws Out RIA's Poaching Suit Against CambridgeColonial River Wealth Advisors alleged the BD helped an advisor poach back her clients after selling the firm.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.