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

For example, FINRA has found that firms have failed to adequately explain how RILAs function and the meaning of specialized terms that are specific to RILAs, as well as finding that firms have ...

"This transformation marks a significant milestone for our organization," said Claude Zdanow, CEO of ONAR. "By unifying our ...

today announced that it has received approval from the Financial Industry Regulatory Authority (FINRA) to formally adopt its new corporate name and change its ticker symbol from RELT to ONAR.

Is FINRA constitutional? According to the D.C. Circuit’s November 2024 opinion in Alpine Securities Corp. v. FINRA, FINRA proceedings may ...

Wondering how hard the Series 7 exam is? Learn about the pass rate, study tips, key details, and what it takes to ace this challenging FINRA exam!

The Sound Shore Fund Investor Class (SSHFX) and Institutional Class (SSHVX) advanced 1.25% and 1.32%, respectively, in Q3 ...

"Our goal at 51 Labs is to continuously innovate and provide our customers with products that enhance their performance, recovery, and overall health," stated Robert Clark, CEO of Fifty 1 Labs, Inc.

According to Gallup’s 2023 Honesty and Ethics poll, a mere 12% of American adults believe stockbrokers are highly ethical. This places them just above members of Congress, car salespeople, and ...

She is a current CFA level 3 candidate and also has her FINRA Series 7 and 63 licenses. Throughout her career, Samantha has used her expertise and various licenses and certifications to provide in ...