FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Fidelity to Pay Nearly $1.3M in Damages Over Structured Products
By Dinah Wisenberg BrinClients said the firm committed breach of contract and fiduciary duty in connection with their investments.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.
February 17, 2026
New FINRA Plan Allows BDs to Market Performance ProjectionsThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 10, 2026
BofA Rep Fired for Expensing $6,000 in Meals Takes FINRA HitThe rep, suspended for nine months, charged BofA for food while working from home, FINRA states.
February 09, 2026
$133M Award Against Stifel Should Stand, Judge SaysThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.