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

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 2026 Oversight Report introduces a new section on generative AI, urging enterprise-level governance, testing and ...

Regulator says flawed disclosures and weak oversight led to excess fees and hidden interest at American Portfolios.

FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or ...

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide FINRA Member Firms with insight into findings from FINRA’s regulatory ...

On May 17, 2023, as part of FINRA’s 2023 Annual Conference, staff from FINRA’s Market Regulation and Member Supervision Departments, along with representatives from FINRA CAT, participated in a panel ...

The Financial Industry Regulatory Authority this week censured and fined two firms for municipal market violations, including failing to properly supervise political contributions from muni finance ...

While FINRA decides whether to appeal a circuit court panel’s ruling that it cannot speedily expel reps without SEC oversight, the regulator believes it can “implement measures” to meet the judges’ ...

Robinhood's chief legal officer Dan Gallagher appointed to FINRA Board of Governors alongside former CFTC chairman Rostin ...

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

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 ...