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

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 ...

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

The announcements above come as politicians start warming up for election season, with the AAP publishing an intriguingly headlined piece this morning claiming the political rulebook has been ...

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 ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

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

With a more crypto-friendly White House, here is what experts say you can expect from bitcoin and other digital currencies ...

However, in a podcast published by Finra, Gregg Ruppert, executive vice president and head of member supervision, says there ...