FINRA shows that industry consolidation led to fewer firms despite more registered representatives in 2025, and that dual ...

FINRA published today its 2026 Industry Snapshot, an annual report that provides aggregate data about member firms, ...

The Financial Industry Regulatory Authority said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...

Robinhood traders have one more reason to celebrate the Fourth of July.

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

FINRA's steady decline in enforcement actions in recent years suggests a "kinder, gentler" stance toward the industry the watchdog agency is charged with policing. Still, a corresponding increase in ...

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The ...

Not so fast, said one prominent securities attorney, Adam Pollet, partner, Eversheds Sutherland. In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation ...

Series 7 and Series 63 are the most common financial securities licenses Mark Cussen, CMFC, has 13+ years of experience as a writer and provides financial education to military service members and the ...

A sign outside the Financial Industry Regulatory Authority office. Customer order handling and fair pricing of fixed income securities – including findings and effective practices observed in those ...

A $642.50 deli platter ended up costing JPMorgan Chase $4.25 million. A Wall Street arbitration panel ordered the banking ...