FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Raymond James, Rep to Pay $20M Over Recruiting 'Raid' on Wells Fargo Office
By Melanie WaddellRaymond James recruited away the branch office's entire team, resulting in its closure, Wells Fargo Advisors said.
January 26, 2023
FINRA Asks Members to Check RILA DisclosuresExaminers will also review marketing to customers who already own variable annuities.
January 25, 2023
How Would Your Clients Score on FINRA's Investor Quiz?FINRA revealed how investors scored on a 10-question quiz, finding knowledge gaps advisors should be aware of.
January 24, 2023
FINRA Enforcement Head to Step DownJessica Hopper is leaving after 18 years with FINRA. Christopher Kelly will be acting head of enforcement.
January 23, 2023
FINRA Asks SEC to Extend Use of Video HearingsDue to "continued presence and uncertainty of COVID-19," FINRA wants to allow hearings by video through April.
January 20, 2023
7 Hot Compliance Tips From FINRA LeadershipA FINRA exec says complaints against advisors are rising and gives advice to help keep firms out of the crosshairs.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 18, 2023
FINRA: Ex-Advisor Group Broker Lied About CBD Oil Side HustleThe former broker for Advisor Group's Woodbury Financial allegedly provided false info about her unapproved CBD oil businesses.