FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BrokerCheck to Show Problem Firms' 'Restricted' Status
By Melanie WaddellStarting June 1, FINRA will label high-risk firms on the site.
April 13, 2023
Does Reg BI Mean the Death of Broker-Dealers?For advisors, the issue going forward is if they stay away from transaction-based products in favor of a strictly fee-based approach.
April 13, 2023
Phishing Scams on the Rise: FINRAThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
April 12, 2023
8 Financial Managers Indicted in $72M SchemeThe defendants scammed at least 200 clients, according to prosecutors.
April 10, 2023
FINRA's New Research Analyst Exam Starts May 15The revised Series 86 and 87 exams encompass the five major job functions a Research Analyst performs.
April 06, 2023
FINRA Tightens Work-From-Home Rule Plan for BrokersFINRA tightened eligibility rules after industry pushback.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.
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.