FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight ...

Brokers and industry groups are greeting a FINRA proposal meant to relax advisors' obligation to report side hustles like weekend bartending gigs with a big "thanks but no thanks." Processing Content ...

A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal ...

A new report by Finra designed to help brokers avoid conflicts of interest encourages them to adopt a code of conduct that sounds similar to the fiduciary standard followed by investment advisers.

Sept 5 (Reuters) - Both the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority can rest a little easier after a federal judge in Philadelphia refused, opens new ...

The Financial Industry Regulatory Authority (FINRA) recently announced a targeted probe of broker-dealers that have helped small companies in foreign jurisdictions to go public between January 2023 ...

The Lewis F. Powell, Jr. Courthouse, home of the Fourth Circuit, in Richmond, Virginia. (Acroterion/ Wikipedia Commons via Courthouse News) RICHMOND, Va. (CN) — Fourth Circuit judges on Tuesday ...

The Financial Industry Regulatory Authority Inc. is putting online more information about its disciplinary actions. The new Disciplinary Actions Online database, launched today, provides access to ...

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

A New York-based broker is suing FINRA over its demand for on-the-record testimony, claiming its calls amount to a subpoena without the benefits of the constitutional protections that come along with ...