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Latest posts
Last updated 26 days ago
FINRA Announces Appointment of New Public Governor
26 days ago
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor...
FINRA Statement to Correct Misinformation About FINRA’s Outside Activities Proposal
about 1 month ago
FINRA recently proposed amendments to streamline and reduce unnecessary burdens regarding existing...
FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors
about 2 months ago
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives...
FINRA Foundation Releases State-by-State Financial Knowledge Findings
2 months ago
Findings are Part of the National Financial Capability Study to be Published...
FINRA Statement on Chairman Atkins’ Confirmation
2 months ago
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working...
FINRA Securities Helpline for Seniors Marks 10th Anniversary With More Than $9.3 Million Recovered for Investors
3 months ago
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline...
FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
3 months ago
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers...
Report From FINRA Board of Governors Meeting – February 2025
3 months ago
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing...
FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
4 months ago
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to...
FINRA Publishes 2025 Regulatory Oversight Report
5 months ago
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource...
FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers
6 months ago
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment...
FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers
6 months ago
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment...