FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks to Allow Challenges to Suspensions, Bars
By Melanie WaddellThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 06, 2025
FINRA to Raise Gift Limit to $250FINRA has filed with the SEC to increase the gift limit from $100 per person per year.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 02, 2025
Supreme Court Rebuffs Challenge to FINRA's AuthorityThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 29, 2025
BD Hit With Reg BI Fine Over Annuity ExchangesAAG Capital recommended swapping life insurance policies, fixed indexed annuities and VAs for more costly RILAs.
May 22, 2025
Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, SuspensionThe advisor didn't notify his firm or receive approval to accept the bequest, according to FINRA.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.