For financial fraud victims, the loss can be more than monetary. Nearly two-thirds of 600 self-reported fraud victims said in a survey funded by the FINRA Investor Education Foundation that they ...

Finra wants to update any of its rules that are outdates and has extended a consultation period for stakeholders to provide ...

Finra plans to modify its heightened supervision plans for the 77 broker-dealers who reached such settlements with the SEC prior to 2025, according to a Thursday blog post by Finra President and Chief ...

The regulator behind a controversial proposal to rewrite rules governing brokers’ outside business activities is taking the ...

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from April 2025. In ...

The Financial Industry Regulatory Authority has barred an ex– Merrill Lynch financial advisor who left the firm earlier this year amid allegations of having misappropriated a client's funds.

The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach ...

A Michigan congresswoman's bill would transfer the Financial Industry Regulatory Authority's rulemaking, examination and ...

FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often ...

Republican lawmakers are once again waging war against the Financial Industry Regulatory Authority (Finra). A Michigan congresswoman introduced legislation last month that would eliminate Finra's role ...

B. Riley Financial Inc. is facing more scrutiny from authorities, with the company disclosing that the Financial Industry ...