The agency hasn’t exactly dominated trade publication headlines in recent months, but it remains active on enforcement and rulemaking efforts that will impact retirement advisers. A quick review of ...

A New Jersey dealer firm agreed to pay $25,000 to settle charges that it violated multiple municipal securities rules after the Financial Industry Regulatory Authority found it failed to correctly ...

Finra next week plans to revive a proposal that would require brokers to include a link on their website and other online communications leading investors to their profile on BrokerCheck, a database ...

FINRA (Financial Industry Regulatory Authority) has launched a new section of its website to cover its work on crypto or digital assets. FINRA is the entity that oversees all of the broker-dealers in ...

Suggestions from the industry include eliminating the 180-day enforced waiting period triggered by a third failed ‘top off’ examination, involving community colleges in the licensing process and ...

TradeStation Securities agreed to an $85,000 penalty, according to the FINRA order. The firm agreed to FINRA’s findings in the matter without admission or denial, and a spokesperson for TradeStation ...

Your article was successfully shared with the contacts you provided. The Financial Industry Regulatory Authority plans to reconsider at its board meeting Thursday a revised proposal to require firms ...

Large brokerages with 500 or more registered representatives will be paying an additional $415,000 annually to FINRA under a proposed fee increase plan. The Financial Industry Regulatory Authority, ...

The Financial Industry Regulatory Authority (FINRA), a private US-based corporation that acts as a self-regulatory organization, has chosen Amazon Web Services (AWS) (NASDAQ:AMZN) as its cloud service ...