FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

SEC's Peirce Pushes for More Accredited Investor Rule Changes

May 26, 2021

SEC's Peirce Pushes for More Accredited Investor Rule Changes
Number of Registered Reps Falls for Fifth Straight Year: FINRA

May 25, 2021

Number of Registered Reps Falls for Fifth Straight Year: FINRA
FINRA Plans Fee Hike as Early as Next Year

May 24, 2021

FINRA Plans Fee Hike as Early as Next Year
Merrill to Bar Trainees From Cold Calling: Report

May 24, 2021

Merrill to Bar Trainees From Cold Calling: Report
8 Top Enforcement Trends FINRA's Watching Now

May 21, 2021

8 Top Enforcement Trends FINRA's Watching Now
Brokers Still Gaming BrokerCheck With New Tactics: PIABA

May 19, 2021

Brokers Still Gaming BrokerCheck With New Tactics: PIABA
Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in Prison

May 18, 2021

Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in Prison