Firm failed to reasonably supervise its employees' use of unapproved communications platforms for business purposes
AML cases yielded the most FINRA fines in 2025, marking the third time in the past five years AML has topped the list
'This recent FINRA action underscores the importance of ensuring that aggregated performance data is presented in a way that accurately the product being marketing'
The SEC estimates that the approved amendment will result in $50 million to $70 million in annual CAT cost savings
FINRA is soliciting comments by May 1 on modernizing its arbitration rules, guidance and processes
You have until May 18th to comment on a new SEC proposal that would limit B-D information requirements under a 55-year-old Exchange Act rule to ...
FINRA disciplinary actions decreased 22% in 2025 and restitution was down 35%
Process overhauls are "reshaping how enforcement investigations are conducted and how broker-dealers experience investigations"
The new FAQ was added to 15 others relating to crypto asset activities and distributed ledger technology that the Trading and Markets division has posted ...
The amendments also authorize FINRA staff to grant exemptions from the gifts rule 'for good cause shown'