FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity Theft
By Jeff BermanThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.
May 27, 2021
Gamification Offers Benefits, Risks to BDs and Clients: FINRAA FINRA panel also warned reps to be careful what they say in their social media posts.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 24, 2021
FINRA Plans Fee Hike as Early as Next YearThis year marks the eighth consecutive year that FINRA has not increased fees.
May 24, 2021
Merrill to Bar Trainees From Cold Calling: ReportThe wirehouse is launching a new training program using internal referrals and LinkedIn messages, according to The Wall Street Journal.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
May 19, 2021
Brokers Still Gaming BrokerCheck With New Tactics: PIABA"Straight-in expungements" are the latest example of how investors and state regulators are left out of the expungement process, lawyers argue.