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Latest posts
Last updated 5 days ago
FINRA Statement to Correct Misinformation About FINRA’s Outside Activities Proposal
6 days 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
20 days ago
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives...
FINRA Foundation Releases State-by-State Financial Knowledge Findings
about 1 month ago
Findings are Part of the National Financial Capability Study to be Published...
FINRA Statement on Chairman Atkins’ Confirmation
about 1 month 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
about 1 month 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
2 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
2 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
3 months ago
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to...
FINRA Publishes 2025 Regulatory Oversight Report
3 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
5 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
5 months ago
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment...
Report From FINRA Board of Governors Meeting – December 2024
5 months ago
FINRA’s Board of Governors met on December 4-5. The agenda included discussions...