A Yonkers investment broker who was accused of misappropriating client funds has been banned from associating with anyone in the ...

The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader "FINRA Forward" initiative. [1] FINRA believes these “common-sense ...

During a House Committee hearing, lawyers testified on the effectiveness of FINRA, as they consider a bill to fold it into ...

The proposals, now filed with the Securities and Exchange Commission, are part of Finra’s broader "FINRA Forward" rule modernization initiative. “Our FINRA Forward rule modernization initiative is an ...

Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum functions, on March 2, FINRA issued Regulatory Notice 26‑06, ...

State regulators warn FINRA’s proposed Rule 3290 could leave gaps in oversight of brokers’ side businesses and private deals.

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...

The limit imposed in the gifts rule was last adjusted in 1992. FINRA said boosting the cap to US$300 gift “should account for ...

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The ...

Not so fast, said one prominent securities attorney, Adam Pollet, partner, Eversheds Sutherland. In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into ...

Discover what the Series 6 License is, how to obtain it, and what financial products you can sell with it, such as mutual funds and variable annuities.