FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Adopts Stricter Expungement Rules
By Melanie WaddellRequests for "straight-in" expungements will now have to be heard by a special roster of arbitrators.
August 08, 2023
FINRA Lists Ric Edelman's Digital Asset Certificate as Professional DesignationFinancial professionals who complete the 15-credit course can now display the CBDA credential.
August 01, 2023
FINRA Posts Life Settlement Guide for ConsumersThe organization warns of concerns but says policy sales might make sense for some.
July 28, 2023
Judge Throws Out RIA's Poaching Suit Against CambridgeColonial River Wealth Advisors alleged the BD helped an advisor poach back her clients after selling the firm.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.
July 25, 2023
Ex-LPL Broker Suspended for Teaching Online CoursesThe former broker had five outside business activities without LPL's approval according to FINRA.
July 17, 2023
JPMorgan Broker Suspended for Not Disclosing Kidnapping ChargesThe broker was charged with kidnapping a child and threatening a crime resulting in death or bodily injury.