FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Current, Former LPL Advisors Over False Signatures
By Dinah Wisenberg BrinThe advisors both agreed to a fine and suspension.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
Ameriprise Advisor Arrested on Jan. 6 Riot ChargesLee Giobbie of New Jersey was arrested last week and charged with multiple felonies and misdemeanors.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
February 01, 2024
Who's Covered Under FINRA's New Home Office Rule? Here's Some Help.BDs "may not fully appreciate the limited scope of the relief," lawyer Ben Marzouk says.
February 01, 2024
Medicare Advantage Managers Start 2025 Rate-Setting ProcessAverage plan revenue per enrollee could grow faster next year.
January 26, 2024
Planner Accused of Buying House With $2M in Client FundsThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
January 26, 2024
Voya Financial Advisors Gets FINRA Penalty Over Life SalesThe company resolved a case involving about $8.7 million in compensation.