FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Worker Classification for Independent Financial Professionals: Big Changes Ahead?
By Mark QuinnThe Labor Department plans to propose new rules on independent contractors that might affect advisors.
July 29, 2022
FINRA Seeks to Allow Private Homes as Non-Branch OfficesHome offices deemed "residential supervisory locations" would be inspected regularly and face certain limitations.
July 22, 2022
FINRA Bars Ex-Wells Fargo Broker After Fraud ComplaintThe former broker refused to testify in an investigation of his conduct, FINRA says.
July 20, 2022
Fidelity's Poaching Complaint Against Former Advisor and UBS Is DismissedFidelity sought injunctive relief to stop an ex-advisor who left the firm from allegedly poaching clients from it.
July 18, 2022
Reg BI Makes FINRA's Top Customer Arb List, a FirstThough Reg BI was implemented two years ago, "it takes a while for cases to bubble up."
July 15, 2022
4 Things to Consider Before Buying a Deferred Income Annuity: FINRAUnlike immediate annuities, the payout from deferred income annuities comes at a predetermined future date.
July 13, 2022
FINRA Bars 2 Reps for Cheating on Remote ExamsBoth reps were barred for accessing the internet while taking a FINRA registration exam online.
July 12, 2022
Barred Broker Sentenced to Prison for $12M Ponzi SchemeMatthew Eckstein will get up to 10.5 years in prison for his role in bilking more than 50 investors, the prosecutor said.