The Financial Industry Regulatory Authority (FINRA) has proposed a sweeping update to how broker‑dealers handle outside business activities ...

PIABA wants FINRA to stop letting firms remove arbitrators who previously ruled against them in similar dispute cases ...

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its ...

In a letter to Finra president and CEO Robert Cook, the Public Investors Advocate Bar Association (PIABA) urged the regulator to rethink a recent practice that allows broker-dealers to seek removal of ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. The report reflects FINRA’s commitment to providing transparency to ...

Cetera agrees to pay $1.1 million fine after FINRA found the firm failed to properly monitor suspicious penny stock transactions ...

Regulator outlines early use cases for autonomous AI tools, urges governance frameworks while it continues to shape guidance around emerging technology.

Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...

WASHINGTON--(BUSINESS WIRE)--FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm ...

The Financial Industry Regulatory Authority fined and suspended a former Osaic advisor after the regulator said he accepted a $1 million bequest from a client in violation of Finra rules. Kenneth John ...