FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
AI Rules for Advisors Aren't Here Yet. The Compliance Risks Are.
By Melanie WaddellAdvisors should expect regulators to scrutinize their AI use under existing rules.
August 19, 2026
Raymond James Hit With $125K Fine Over Fractional SharesThe firm failed to report approximately 2.56 million fractional share liquidations, according to FINRA.
August 18, 2026
FINRA Suspends Rep for Forging Client Initials, SignatureMark J. Hudec initialed brokerage account opening forms and signed an advisory account form, an order states.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 12, 2026
LPL Advisor Must Pay UBS $5.6M Over Promissory Note BreachAn arbitration panel awarded the financial services firm amounts due under the notes, plus interest and attorneys' fees.
August 11, 2026
Ex-NY Life Rep Falsified Annuity Applications: FINRAQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
August 10, 2026
NASAA Shortens Waiting Period for IAR Test TakingAfter their third unsuccessful attempt at the Series 63, 65 or 66, candidates could retest within 60 days.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.