FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks to Ease Worries on New Home Office Rules
By Melanie WaddellSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
May 15, 2024
FINRA Debuts Remote Inspections Resource for Advisors, FirmsThe voluntary, three-year Remote Inspections Pilot Program starts on July 1.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
May 10, 2024
JPMorgan Asks Court to Halt Ex-First Republic Advisors' Recruiting Loan FightJPMorgan subsidiaries and 16 advisors are sparring over loans from the defunct bank tied to recruiting bonuses.
May 10, 2024
Merrill Lynch to Pay $825K Over Best Execution IssuesMerrill failed to reasonably supervise equity orders in the firm's electronic systems to ensure they were executed promptly, FINRA said.
May 09, 2024
New FINRA Home Office Rule Resource Goes LiveThe rules around residential supervisory locations, or RSLs, take effect June 1.
May 03, 2024
SoFi Securities Hit With $1.1M FINRA Fine Over Theft in Cash AccountsSoFi's lack of protections resulted in customers using accounts to steal $2.5 million, FINRA says.
May 02, 2024
FINRA Files to Extend CE Deadlines for Brokers on a BreakBrokers who left the industry would have more time to complete CE requirements under FINRA's Maintaining Qualifications Program, or MQP.