FINRA

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

More Sweeps, Reg BI Cases on the Way

May 19, 2023

More Sweeps, Reg BI Cases on the Way
FINRA Plans More Remote Work Rules

May 17, 2023

FINRA Plans More Remote Work Rules
Reg BI Is a 'Work in Progress': SEC Chief

May 16, 2023

Reg BI Is a 'Work in Progress': SEC Chief
FINRA Expels Firm Over Reg BI Violations

May 15, 2023

FINRA Expels Firm Over Reg BI Violations
What the Broker-Dealer Industry Looks Like Now, in 5 Charts

May 05, 2023

What the Broker-Dealer Industry Looks Like Now, in 5 Charts
Oppenheimer Ordered to Pay Another $14M Over Ponzi Scheme

May 05, 2023

Oppenheimer Ordered to Pay Another $14M Over Ponzi Scheme
Merrill to Pay $1.4M Over Cold Calling

May 04, 2023

Merrill to Pay $1.4M Over Cold Calling
BrokerCheck to Show Problem Firms' 'Restricted' Status

May 03, 2023

BrokerCheck to Show Problem Firms' 'Restricted' Status
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn Charges

April 21, 2023

Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn Charges
FINRA's Expungement Rules Just Got Tougher

April 14, 2023

FINRA's Expungement Rules Just Got Tougher