FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

FINRA Names New Enforcement Chief

August 21, 2023

FINRA Names New Enforcement Chief
Ex-Broker Gets Life in Prison for Crimes Tied to Death of Client

August 18, 2023

Ex-Broker Gets Life in Prison for Crimes Tied to Death of Client
FINRA Says Video Conferences Now a Permanent Hearing Option

August 16, 2023

FINRA Says Video Conferences Now a Permanent Hearing Option
FINRA Adopts Stricter Expungement Rules

August 16, 2023

FINRA Adopts Stricter Expungement Rules
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' Annuities

August 11, 2023

Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' Annuities
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying Documents

August 08, 2023

Former LPL, Raymond James Reps Slammed by FINRA for Falsifying Documents
FINRA Lists Ric Edelman's Digital Asset Certificate as Professional Designation

August 08, 2023

FINRA Lists Ric Edelman's Digital Asset Certificate as Professional Designation
FINRA Posts Life Settlement Guide for Consumers

August 01, 2023

FINRA Posts Life Settlement Guide for Consumers
Judge Throws Out RIA's Poaching Suit Against Cambridge

July 28, 2023

Judge Throws Out RIA's Poaching Suit Against Cambridge
Don't Forget This CE Requirement, FINRA Warns

July 27, 2023

Don't Forget This CE Requirement, FINRA Warns