FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks Sanctions Against Ex-Pru Rep Over Fake Insurance Applications
By Jeff BermanThe former Pruco broker also allegedly forged clients' signatures, FINRA says.
August 16, 2021
FINRA Seeks Feedback on BDs' Cloud Computing PracticesFINRA seeking comments on new report, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption.
August 06, 2021
10 Worst Financial Advisors in America to Date in 2021The latest advisors and brokers who "qualified" so far include alleged scammers, an alleged batterer and a registered sex offender.
August 05, 2021
Interactive Brokers Hit With Class-Action Suit Over $23M Ponzi SchemeThe firm disregarded its own compliance department's red flags and written internal compliance policies to further aid the scheme, the suit states.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
July 29, 2021
Robinhood Falls in Debut as Retail Investors Keep Distance"It looks like nobody wants to touch it," said Max Gokhman, head of asset allocation at Pacific Life Fund Advisors.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.
July 27, 2021
FINRA Preps New Fingerprint Service for BDs, Funding PortalsFINRA plans to implement the new service by September.