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 ...

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

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

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

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

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

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

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

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

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