FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC Charges Father-Son Advisory Team With Fraud
By Jeff BermanThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
FINRA Reviews Comments on Machine-Readable RulebookThe comment period on the initiative is open until Feb. 21.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 08, 2023
Deloitte Warns Life Insurers to Get a Jump on Internal AuditsFirm analysts say companies should find any sales and marketing problems before FINRA and DOL examiners do.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.