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

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 ...

Related: ‘I got seriously burned’: My financial adviser took me for lunch, bought my kids gifts — and had me invest $500,000 ...

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

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.

Bear markets typically last nine to 15 months, but can be longer or shorter depending on the cause and underlying ...

Dogecoin Cash, Inc. (OTC: CBDS) received confirmation from the Financial Industry Regulatory Authority (FINRA) that its ...

Dominari Securities LLC, a wholly owned subsidiary of Dominari Holdings Inc. (Nasdaq:DOMH), today announced it served as the exclusive placement agent successfully leading the placement of a $40 ...