FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

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

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, ...

Marjorie Kessler, 76, claimed last year that Morgan Stanley violated two industry rules and “long-standing” industry ...

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

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

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

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

Guidance on issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ authority, investigation-stage settlement considerations, types of ...