Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

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

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

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

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

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

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

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

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

New coursework reduces hiring risks, increases screening and onboarding efficiency, and allows administrators to vet candidates early ...

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 ...