FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Phishing Scams on the Rise: FINRA
By Melanie WaddellThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
April 06, 2023
FINRA Tightens Work-From-Home Rule Plan for BrokersFINRA tightened eligibility rules after industry pushback.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.
March 16, 2023
FINRA Plans New Branch Inspection, Home Office RulesFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
March 10, 2023
FINRA's Top 5 Fine Categories in 2022Eversheds attorney Brian Rubin expects more FINRA cases related to off-channel communications, like texting, in 2023.
March 06, 2023
Twin Advisors Defrauded 60 Clients, SEC SaysThe advisors charged higher fees than clients had agreed to, according to the SEC.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.