FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Here's What BDs Should Do After SVB, Signature Failures
By Melanie WaddellThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
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.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
FINRA Reviews Comments on Machine-Readable RulebookThe comment period on the initiative is open until Feb. 21.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.