FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's Expungement Rules Just Got Tougher
By Melanie WaddellThe new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.
April 12, 2023
8 Financial Managers Indicted in $72M SchemeThe defendants scammed at least 200 clients, according to prosecutors.
April 10, 2023
FINRA's New Research Analyst Exam Starts May 15The revised Series 86 and 87 exams encompass the five major job functions a Research Analyst performs.
April 06, 2023
FINRA Tightens Work-From-Home Rule Plan for BrokersFINRA tightened eligibility rules after industry pushback.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.
March 16, 2023
FINRA Plans New Branch Inspection, Home Office RulesFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
March 10, 2023
FINRA's Top 5 Fine Categories in 2022Eversheds attorney Brian Rubin expects more FINRA cases related to off-channel communications, like texting, in 2023.