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

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these ...

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack ...

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 ...

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

Our M1 Finance 2025 review delves into how this intuitive investing platform combines automated investing with personalized ...

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

Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...

The rise of high-frequency trading (HFT) and algorithmic trading has played a key role in the growth of ATS platforms. These ...

Did you know that, in most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts ...

The regulatory outlook "at this moment is uncertain," Municipal Securities Rulemaking Board CEO Mark Kim said Thursday, ...