FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines, Suspends Rep Over WhatsApp Messages
By Melanie WaddellOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
May 09, 2024
New FINRA Home Office Rule Resource Goes LiveThe rules around residential supervisory locations, or RSLs, take effect June 1.
May 03, 2024
SoFi Securities Hit With $1.1M FINRA Fine Over Theft in Cash AccountsSoFi's lack of protections resulted in customers using accounts to steal $2.5 million, FINRA says.
May 02, 2024
FINRA Files to Extend CE Deadlines for Brokers on a BreakBrokers who left the industry would have more time to complete CE requirements under FINRA's Maintaining Qualifications Program, or MQP.
April 30, 2024
RBC Capital Markets to Pay Nearly $800K Over Trade ConfirmationsThe firm sent 940,000 inaccurate trade confirmations to customers and failed to send millions more, according to FINRA.
April 29, 2024
TD Ameritrade Hit With $600K FINRA Fine Over Options Trading ApprovalsThe brokerage's automated system for approving customers for options trading failed to detect red flags.
April 22, 2024
FINRA Is Stepping Up Reg BI Actions, Enforcement Chief SaysThe regulator has brought cases on Form CRS, excessive trading and variable annuities, Bill St. Louis says.
April 16, 2024
Advisor on FBI's 'Most Wanted' List Arrested on Fraud ChargesAuthorities say William Jack Berg defrauded his clients, using their $1.5 million for his own benefit.