FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-NY Life Rep Over Expense Reports
By Melanie WaddellThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 02, 2025
6 Big FINRA Moves in 2025FINRA is tweaking a number of rules, including those around office supervision and gifting.
October 01, 2025
Judge Denies Merrill's Request to Restrain OpenArc Breakaway TeamMerrill sought to bar 12 advisors from soliciting its clients and from encouraging its employees to leave.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 26, 2025
FINRA to Send Revised Outside Business Activity Plan to SECIndustry officials are bracing to see if the proposal includes changes to supervisory requirements for outside RIA activity.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 22, 2025
Ex-Wells Fargo Broker Suspended, Fined Over $675K Customer BequestCarol Abdo-Brownsberger provided inaccurate information on her role as a foundation trustee, FINRA says.
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.