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Last updated 6 days ago
FINRA Strengthens External Relations Leadership with Two Senior Appointments
6 days 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
24 days 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
26 days ago
WASHINGTON—FINRA announced today the launch of the Financial Intelligence Fusion Center (FIFC)...
Report From FINRA Board of Governors Meeting – March 2026
about 2 months ago
WASHINGTON—FINRA’s Board of Governors held its first meeting this year on March...
FINRA Announces Appointment of Four New Board Governors
4 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
4 months ago
FINRA has ordered American Portfolios Financial Services, Inc. (APFS), acquired by Osaic...
Report From FINRA Board of Governors Meeting – December 2025
4 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
5 months ago
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among...
New FINRA Foundation Research Examines Shifting Investor Behaviors, Preferences and Attitudes
5 months ago
The Pace of New Investors Entering the Market has Slowed, Investors are...
FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures
5 months ago
FINRA has ordered Securities America, Inc. to pay $2 million in restitution...
FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
6 months ago
FINRA has fined First Trust Portfolios L.P. $10 million for providing excessive...
FINRA Foundation and AFCPE® Present the 2025 FINRA Foundation Military Spouse Fellows
7 months ago
Fellowship Program Provides Military Spouses with Best-in-Class Financial Counseling Training and Enriching...