FINRA

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

Barclays Hit With $2M Fine Over Best Execution Failures

October 05, 2022

Barclays Hit With $2M Fine Over Best Execution Failures
Big BDs Could Face Heftier Fines Under New FINRA Rules

September 30, 2022

Big BDs Could Face Heftier Fines Under New FINRA Rules
Here's What Gets Brokers Barred, According to FINRA

September 26, 2022

Here's What Gets Brokers Barred, According to FINRA
Our Clients Want Us to Text Them. Here's How.

September 23, 2022

Our Clients Want Us to Text Them. Here's How.
Raymond James Fined $500K Over Rep Who Stole From WWII Vet

September 23, 2022

Raymond James Fined $500K Over Rep Who Stole From WWII Vet
Ex-CNBC Guest Analyst and Advisor, Thought to Be in Hiding, Is Charged With Fraud

September 22, 2022

Ex-CNBC Guest Analyst and Advisor, Thought to Be in Hiding, Is Charged With Fraud
Advisor Charged With Securities Fraud in Insider Trading Scheme  

September 21, 2022

Advisor Charged With Securities Fraud in Insider Trading Scheme  
Ex-Morgan Stanley Broker Pleads Guilty to $7M Ponzi Scheme

September 19, 2022

Ex-Morgan Stanley Broker Pleads Guilty to $7M Ponzi Scheme
FINRA Takes 'First Step' to Improve Arbitrator Selection Process

September 16, 2022

FINRA Takes 'First Step' to Improve Arbitrator Selection Process
SEC Charges Advisor With Stealing Over $743K From Clients, Including MLB Player

September 14, 2022

SEC Charges Advisor With Stealing Over $743K From Clients, Including MLB Player