FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Wants Regulatory CE Requirement Satisfied Annually
By Melanie WaddellFINRA's proposal would also let brokers who are out of the industry keep their qualifications for longer if they fulfill CE requirements.
June 02, 2021
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity TheftThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.
May 28, 2021
FINRA Withdraws Rule Creating Expungement Arbitrator RosterFINRA temporarily withdrew the rule from SEC consideration, saying it might revise it.
May 28, 2021
FINRA OKs Advisory Committee Term Limits, Adjusts CE FeesTerm limits for members of FINRA's 12 advisory committees are intended to promote diversity.
May 27, 2021
Gamification Offers Benefits, Risks to BDs and Clients: FINRAA FINRA panel also warned reps to be careful what they say in their social media posts.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 24, 2021
FINRA Plans Fee Hike as Early as Next YearThis year marks the eighth consecutive year that FINRA has not increased fees.