FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Priorities: 7 Steps to Stay Compliant
By John ManganaroThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 03, 2023
Raymond James, Rep to Pay $20M Over Recruiting 'Raid' on Wells Fargo OfficeRaymond James recruited away the branch office's entire team, resulting in its closure, Wells Fargo Advisors said.
February 02, 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI InfractionsThe brokers recommended an excessive and unsuitable series of trades, FINRA says.
January 26, 2023
Succession Planning Is Not Just for Retirement: FINRA ExecsCall it a succession plan, legacy plan or something else, but firms need to be better prepared for the future.
January 26, 2023
FINRA Asks Members to Check RILA DisclosuresExaminers will also review marketing to customers who already own variable annuities.
January 25, 2023
How Would Your Clients Score on FINRA's Investor Quiz?FINRA revealed how investors scored on a 10-question quiz, finding knowledge gaps advisors should be aware of.
January 24, 2023
FINRA Enforcement Head to Step DownJessica Hopper is leaving after 18 years with FINRA. Christopher Kelly will be acting head of enforcement.