FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's New Research Analyst Exam Starts May 15
By Melanie WaddellThe revised Series 86 and 87 exams encompass the five major job functions a Research Analyst performs.
March 16, 2023
FINRA Plans New Branch Inspection, Home Office RulesFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
March 10, 2023
FINRA's Top 5 Fine Categories in 2022Eversheds attorney Brian Rubin expects more FINRA cases related to off-channel communications, like texting, in 2023.
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.