For financial fraud victims, the loss can be more than monetary. Nearly two-thirds of 600 self-reported fraud victims said in a survey funded by the FINRA Investor Education Foundation that they ...

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 ...

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 ...

UBS Group AG UBS agreed to pay $511 million to resolve a tax probe by the U.S. Department of Justice (“DOJ”) against Credit ...

Finra wants to update any of its rules that are outdates and has extended a consultation period for stakeholders to provide ...

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

The Central Registration Depository is a program that supports transparency for those working in the financial services ...

FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often ...

Republican lawmakers are once again waging war against the Financial Industry Regulatory Authority (Finra). A Michigan congresswoman introduced legislation last month that would eliminate Finra's role ...

A Michigan congresswoman's bill would transfer the Financial Industry Regulatory Authority's rulemaking, examination and ...