FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From Clients
By Jeff BermanThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 02, 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI InfractionsThe brokers recommended an excessive and unsuitable series of trades, FINRA says.
January 26, 2023
Succession Planning Is Not Just for Retirement: FINRA ExecsCall it a succession plan, legacy plan or something else, but firms need to be better prepared for the future.
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.