FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
More Sweeps, Reg BI Cases on the Way
By Melanie WaddellMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 15, 2023
FINRA Expels Firm Over Reg BI Violations"The serious misconduct in this case exposed customers to significant risk of harm and necessitated expulsion," the regulator said.
May 05, 2023
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsThe number of registered reps increased for the first time since 2015.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Merrill to Pay $1.4M Over Cold CallingAdvisor trainees called numbers on do-not-call lists, according to New Hampshire regulators and FINRA.
May 03, 2023
BrokerCheck to Show Problem Firms' 'Restricted' StatusStarting June 1, FINRA will label high-risk firms on the site.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.
April 14, 2023
FINRA's Expungement Rules Just Got TougherThe new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.