FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker Suspended After Raising Funds for Fitness Business
By Dinah Wisenberg BrinThe suspended advisor raised over $10 million for his Texas company without employer approval, FINRA says.
February 13, 2024
Jason Fichtner Among New Members Named to FINRA Foundation BoardThe nonprofit FINRA Investor Education Foundation is welcoming three industry veterans, including the former Social Security official.
February 09, 2024
FINRA Fines Current, Former LPL Advisors Over False SignaturesThe advisors both agreed to a fine and suspension.
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.