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

Highlights,Broker-dealer trading ahead of clients violates NASD fair practice rules.,This unethical practice is also known as ...

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, ...

The industry's self-regulator fined James Iannazzo $50,000 and suspended him for two years for violating what one dissenting panel member said was a "catch-all" Finra rule.

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 ...