An attorney representing Frank Black in his case against FINRA believes the issue of whether the self-regulatory organization ...

FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these ...

FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations ...

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

The tide is beginning to shift toward the wirehouse in its contentions that deferred pay is not protected by federal ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain ...

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...