FINRA

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

Ex-Merrill Rep Barred for Keeping $100 Found at ATM: FINRA

February 19, 2021

Ex-Merrill Rep Barred for Keeping $100 Found at ATM: FINRA
FINRA Targets 'Game-Like' Digital Platforms

February 03, 2021

FINRA Targets 'Game-Like' Digital Platforms
FINRA Starts Probe of Reps' PPP Loans

January 25, 2021

FINRA Starts Probe of Reps' PPP Loans
Ex-Rep, in Prison, Ordered to Pay Wells Fargo $3M

January 14, 2021

Ex-Rep, in Prison, Ordered to Pay Wells Fargo $3M
529 Plan Share Class Crackdown Yields $2.7M for Clients

January 04, 2021

529 Plan Share Class Crackdown Yields $2.7M for Clients
FINRA Fines LPL $6.5M Over Faulty Background Checks, Deleted Records

January 04, 2021

FINRA Fines LPL $6.5M Over Faulty Background Checks, Deleted Records
Transamerica to Pay $8.8M Over Annuity, Fund & 529 Supervisory Failures

December 21, 2020

Transamerica to Pay $8.8M Over Annuity, Fund & 529 Supervisory Failures