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Last updated 2 days ago
FINRA Publishes 2025 Industry Snapshot
2 days ago
FINRA published the 2025 Industry Snapshot, the annual statistical report on registered...
Regulators to Hold Outreach Event for Municipal Market Professionals
16 days ago
WASHINGTON— The Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board...
Report From FINRA Board of Governors Meeting – June 2025
21 days ago
WASHINGTON—FINRA’s Board of Governors met June 4-5. The Board approved two rule...
FINRA Announces Appointment of New Public Governor
about 2 months 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
2 months 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
3 months ago
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives...
FINRA Foundation Releases State-by-State Financial Knowledge Findings
3 months ago
Findings are Part of the National Financial Capability Study to be Published...
FINRA Statement on Chairman Atkins’ Confirmation
3 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
4 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
4 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
5 months ago
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to...