FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Supreme Court Rebuffs Challenge to FINRA's Authority
By Greg StohrThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.
May 15, 2025
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach NoticesThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 15, 2025
FINRA to Raise $100 Gift LimitThe regulator also plans to codify looser rules on personal gifts.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
FINRA Rules Need 'Constant' Attention: CEO CookThe regulator plans to overhaul outdated rules and embrace "continuous" change, Robert Cook said at FINRA's annual conference.
May 09, 2025
FINRA Suspends Rep for Unsuitable Annuity SwitchesThe rep recommended that customers exchange their existing variable annuities for a higher-cost L-share contract.
May 09, 2025
FINRA Working to Modify Firms' SEC Texting SettlementsFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.