FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
10 Top Priorities for SEC and FINRA in 2024
By Melanie WaddellHere are the hottest topics among regulators this year, according to ACA Compliance Group.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.
February 07, 2024
The New Spot Bitcoin ETFs Aren't Actually ETFsThe misnomer has caused some confusion among both investors and financial professionals.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
Ameriprise Advisor Arrested on Jan. 6 Riot ChargesLee Giobbie of New Jersey was arrested last week and charged with multiple felonies and misdemeanors.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
February 01, 2024
Who's Covered Under FINRA's New Home Office Rule? Here's Some Help.BDs "may not fully appreciate the limited scope of the relief," lawyer Ben Marzouk says.
February 01, 2024
Medicare Advantage Managers Start 2025 Rate-Setting ProcessAverage plan revenue per enrollee could grow faster next year.