FINRA has enforcement powers over the brokers and firms it regulates. This includes the power to levy fines and sanctions ...

Despite the hype around and capabilities of AI technology, consumers still trust human financial professionals more — and by ...

Finra is calling on all its member firms to take heed and take action as new SEC rules that stiffen expectations around data ...

Martin Walcoe, the CEO and president of David Lerner Associates Inc., is the latest senior executive at the firm to face an ...

An arbitration panel has ordered Iowa-based broker-dealer Principal Securities to pay $7.3 million in damages to a Minnesota family foundation that said an ex-rep with the company (who has since died) ...

FINRA’s 2024 Regulatory Oversight Report provided new steps for firms to implement in their quest for compliance. Companies ...

The SEC and FINRA are being transparent about their increased regulatory activity around off-channel communications and the ...

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting ...

The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate ...

The Financial Industry Regulatory Authority has censured and fined Thrivent Investment Management $325,000 for failing to ...

In mid-May, FINRA released its FAQ guidance on the Remote Inspections Pilot Program (Pilot Program), which begins on July 1, 2024. The FAQs primarily address operational questions related to the Pilot ...