Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...

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

Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...

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

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

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure customer protection. Apex operated a fully ...