FINRA

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

Gamification Offers Benefits, Risks to BDs and Clients: FINRA

May 27, 2021

Gamification Offers Benefits, Risks to BDs and Clients: FINRA
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