FINRA

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

FINRA Exams Are Changing, Execs Say

June 16, 2023

FINRA Exams Are Changing, Execs Say
Ex-LPL Broker Fined, Suspended for Not Disclosing Child Sex Abuse Charge

June 16, 2023

Ex-LPL Broker Fined, Suspended for Not Disclosing Child Sex Abuse Charge
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRA  

June 09, 2023

Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRA  
TD Ameritrade Clearing Hit With $500K Fine

June 09, 2023

TD Ameritrade Clearing Hit With $500K Fine
Ex-Morgan Stanley Advisor Pleads Guilty to Money Laundering

June 08, 2023

Ex-Morgan Stanley Advisor Pleads Guilty to Money Laundering
Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs

June 06, 2023

Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs
House Passes Bill to Require Accredited Investor Exam

June 01, 2023

House Passes Bill to Require Accredited Investor Exam
Here's How FINRA Spent $48M of Fine Money

May 31, 2023

Here's How FINRA Spent $48M of Fine Money
FINRA Fines 5 Firms for Reg BI, Form CRS Violations

May 23, 2023

FINRA Fines 5 Firms for Reg BI, Form CRS Violations
Wells Fargo Rep Made His Friend a Client's Beneficiary: FINRA

May 22, 2023

Wells Fargo Rep Made His Friend a Client's Beneficiary: FINRA