Discover key details of FINRA Rule 3210, essential for advisors and brokers opening accounts at firms where they aren't ...

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

Brokers and industry groups are greeting a FINRA proposal meant to relax advisors' obligation to report side hustles like weekend bartending gigs with a big "thanks but no thanks." Processing Content ...

Finra stressed the rule is optional. It would provide a safe harbor for firms that choose to use it. The proposal also contains longer holds for senior exploitation cases. Finra wants to significantly ...

FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

In the midst of a rise in fraudulent activity that shows no sign of abating, brokerage industry self-regulator Finra wants to ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

On June 27, FINRA issued Regulatory Notice 24-09 that discussed the implications to broker-dealers in their use of artificial intelligence (AI), including large language models (LLMs) and other ...

On March 18, 2024, FINRA announced that it has fined a broker-dealer $850,000 in connection with the firm’s program to pay individuals with followings on social media sites (i.e., “influencers”) to ...

FINRA oversees the organization’s mission to protect investors and ensure market integrity for broker-dealers handling ...