FINRA

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

FINRA Files to Limit Non-Lawyers' Work on Arb Cases

October 06, 2023

FINRA Files to Limit Non-Lawyers' Work on Arb Cases
900 Individuals Returned to Industry Using FINRA Continuing Ed Program

October 06, 2023

900 Individuals Returned to Industry Using FINRA Continuing Ed Program
FINRA Fines Former LPL Rep for Faking 30 Clients' Signatures

October 03, 2023

FINRA Fines Former LPL Rep for Faking 30 Clients' Signatures
Fidelity Fined $1.7M for Lax Approval of Options Traders

October 02, 2023

Fidelity Fined $1.7M for Lax Approval of Options Traders
FINRA Suspends Ex-Ameriprise Rep Over DUI Conviction

September 29, 2023

FINRA Suspends Ex-Ameriprise Rep Over DUI Conviction
FINRA Files to Extend Remote Inspections Into 2024

September 28, 2023

FINRA Files to Extend Remote Inspections Into 2024
Former Football Star and Morgan Stanley Rep Gets FINRA Penalty

September 26, 2023

Former Football Star and Morgan Stanley Rep Gets FINRA Penalty