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

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report. 1 The report collects recent observations and findings from ...

The Financial Industry Regulatory Authority (Finra) has released an extensive list of the ways registered representatives and their firms are violating Regulation Best Interest—the retail ...

Highlights:,FINRA is the largest independent regulator for securities firms in the U.S.,It oversees 4,535 brokerage firms, 163,620 branch offices, and 631,640 registered representatives.,The ...

It expresses the views and opinions of the author. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and ...

He is a CFA charterholder as well as holding FINRA Series 7, 55 & 63 licenses. He currently researches and teaches economic sociology and the social studies of finance at the Hebrew University in ...

He is a CFA charterholder as well as holding FINRA Series 7, 55 & 63 licenses. He currently researches and teaches economic sociology and the social studies of finance at the Hebrew University in ...