FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
New FINRA Home Office Rules Take Effect in June
By Melanie WaddellFINRA also set a launch date for a three-year pilot program for remote inspections.
January 12, 2024
FINRA Sees Spike in 'Investment Group' Frauds on Social MediaBad actors are posing as RIAs online and pitching investments though encrypted group chats, the organization warns.
January 03, 2024
FINRA Moves to Tighten Brokers' Ability to Borrow Client MoneyFINRA's plan would strengthen the general prohibition against borrowing and lending and narrow some existing exceptions.
December 28, 2023
LPL Fined $5.5M for Transaction Supervision IssuesThe broker-dealer also will pay $650,000 in restitution plus interest to 125 clients affected by its failures from 2012 to 2019.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 08, 2023
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.Alpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.
November 30, 2023
BofA Securities Hit With $24M FINRA Fine for SpoofingThe penalty follows orders traders didn't intend to have executed to create an appearance of Treasury market activity.