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Last updated 3 days ago
Report From FINRA Board of Governors Meeting – June 2026
4 days ago
Board Approved Four Rule Proposals That Advance FINRA Forward InitiativesWASHINGTON—FINRA’s Board of...
FINRA Publishes 2026 Industry Snapshot
14 days ago
WASHINGTON—FINRA published today its 2026 Industry Snapshot, an annual report that provides...
FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities
26 days ago
WASHINGTON, D.C.—FINRA has fined two member firms a total of more than...
FINRA Announces Review of Higher-Risk Structured Products
27 days ago
WASHINGTON, D.C.—Consistent with its mission of investor protection, FINRA announced today that...
FINRA Strengthens External Relations Leadership with Two Senior Appointments
about 2 months ago
WASHINGTON—FINRA announced today two key additions to our senior leadership team to...
New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media
2 months ago
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Finfluencer...
FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats
3 months ago
WASHINGTON—FINRA announced today the launch of the Financial Intelligence Fusion Center (FIFC)...
Report From FINRA Board of Governors Meeting – March 2026
3 months ago
WASHINGTON—FINRA’s Board of Governors held its first meeting this year on March...
FINRA Announces Appointment of Four New Board Governors
5 months ago
FINRA today announced the appointment of four new Governors to its Board...
FINRA Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest
6 months ago
FINRA has ordered American Portfolios Financial Services, Inc. (APFS), acquired by Osaic...
Report From FINRA Board of Governors Meeting – December 2025
6 months ago
Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection...
FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance
6 months ago
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among...