FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks Feedback on BDs' Cloud Computing Practices
By Melanie WaddellFINRA seeking comments on new report, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
July 29, 2021
Robinhood Falls in Debut as Retail Investors Keep Distance"It looks like nobody wants to touch it," said Max Gokhman, head of asset allocation at Pacific Life Fund Advisors.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.
July 27, 2021
FINRA Preps New Fingerprint Service for BDs, Funding PortalsFINRA plans to implement the new service by September.
July 22, 2021
FINRA: Ex-Wells Fargo Rep Applied for SBA Loan He Wasn't Entitled ToThe broker applied for an economic injury disaster loan while ignoring a major requirement: He didn't run a small business.
July 22, 2021
FINRA Chief Says New Exam Sweeps on the WayOne sweep will focus on firms' use of paid social media influencers or "finfluencers," FINRA CEO Robert Cook says.
July 12, 2021
FINRA Bars Ex-Wells Fargo Rep Over Client Money in His Bank AccountWells Fargo terminated him in April over those allegations.