This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of customers’ fully paid or excess margin securities. Between January ...

In its other new section, FINRA reminds firms that offer extended hours trading that they must comply with FINRA Rule 2265, which requires that these firms provide their customers with a risk ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and ...

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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 ...

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.

Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Strategic Wealth Advisors Group (SWAG), a registered investment adviser.

The SEC claimed that during an on-site examination of the Larsons’ branch office in 2019, FINRA investigators uncovered evidence about their involvement in soliciting Zona stock. According to ...

Contact Marc at [email protected]. Securities offered through LPL Financial, member FINRA/SIPC.