FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach Notices
By Dinah Wisenberg BrinThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 13, 2025
FINRA Rules Need 'Constant' Attention: CEO CookThe regulator plans to overhaul outdated rules and embrace "continuous" change, Robert Cook said at FINRA's annual conference.
May 09, 2025
FINRA Suspends Rep for Unsuitable Annuity SwitchesThe rep recommended that customers exchange their existing variable annuities for a higher-cost L-share contract.
May 09, 2025
FINRA Working to Modify Firms' SEC Texting SettlementsFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
April 30, 2025
FINRA Seeks to Streamline Reporting Rules on Outside ActivitiesSome advisors say the rule's new framework takes away some administrative burdens and adds others.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 17, 2025
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing SchemeFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.