FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Asks Members to Check RILA Disclosures
By Allison BellExaminers will also review marketing to customers who already own variable annuities.
January 23, 2023
FINRA Asks SEC to Extend Use of Video HearingsDue to "continued presence and uncertainty of COVID-19," FINRA wants to allow hearings by video through April.
January 20, 2023
7 Hot Compliance Tips From FINRA LeadershipA FINRA exec says complaints against advisors are rising and gives advice to help keep firms out of the crosshairs.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 18, 2023
FINRA: Ex-Advisor Group Broker Lied About CBD Oil Side HustleThe former broker for Advisor Group's Woodbury Financial allegedly provided false info about her unapproved CBD oil businesses.
January 17, 2023
CFP Board Sanctions Advisor Over Misleading YouTube Video AdThe planner claimed individuals could be "100% certain" of affording retirement in "just 3-5 years," the board said.
January 10, 2023
Former Broker Pleads Guilty to Filing False Tax ReturnThe ex-broker filed individual income tax returns omitting installment payments related to the sale of his advisory firm.
January 10, 2023
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities SchemeThe former broker diverted clients' funds to repay previous investors and for his own use, according to DOJ.