FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Plans New Branch Inspection, Home Office Rules
By Melanie WaddellFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 06, 2023
Twin Advisors Defrauded 60 Clients, SEC SaysThe advisors charged higher fees than clients had agreed to, according to the SEC.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
February 28, 2023
FINRA Provides Update on 'Finfluencers' CrackdownNew guidance illustrates some "initial themes" from the ongoing targeted exam.
February 23, 2023
FINRA Warns of Ongoing Fake-Email ScamBad actors are sending phishing emails from addresses similar to FINRA's, the regulator says.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
FINRA Reviews Comments on Machine-Readable RulebookThe comment period on the initiative is open until Feb. 21.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.