FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines 5 Firms for Reg BI, Form CRS Violations
By Melanie WaddellSome firms failed to file a timely Form CRS while others failed to acknowledge prior disciplinary history.
May 17, 2023
FINRA Plans More Remote Work RulesAlso under consideration is an update to FINRA's outside business activity rule, according to CEO Robert Cook.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
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.