FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Twin Advisors Defrauded 60 Clients, SEC Says
By Jeff BermanThe advisors charged higher fees than clients had agreed to, according to the SEC.
February 23, 2023
FINRA Warns of Ongoing Fake-Email ScamBad actors are sending phishing emails from addresses similar to FINRA's, the regulator says.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
FINRA Reviews Comments on Machine-Readable RulebookThe comment period on the initiative is open until Feb. 21.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 08, 2023
Deloitte Warns Life Insurers to Get a Jump on Internal AuditsFirm analysts say companies should find any sales and marketing problems before FINRA and DOL examiners do.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.