FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD Fined $100K for Letting Suspended Rep Keep Working
By Melanie WaddellIndependent Financial Group permitted the rep to enter securities orders through its clearing firm, FINRA said.
October 24, 2025
BD Hit With $65K Fine Over Reg BI, Email, Outside Business ViolationsJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.
October 22, 2025
FINRA Suspends Ex-Fidelity Rep Over Social Media PostsKevin Jenkins ran a company that posted unapproved finance-related content, according to FINRA.
October 17, 2025
State Regulators See Rise in Tech-Related SchemesInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 17, 2025
FINRA Bars Ex-Edward Jones Rep Fired Over Outside InvestmentsThe rep failed disclose documents to FINRA related to the investments, which included purported crypto mining companies.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 10, 2025
FINRA Attempt to Change Trading Rule May Cause More Risk: SEC RoundupFINRA will seek approval to lower the minimum account balance for frequent traders to $2,000 from $25,000.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.