Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

FINRA published its 2025 Annual Regulatory Oversight Report (the “Report”) as “an up-to-date, evolving resource or library ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain ...

A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...

FINRA has published the 2025 FINRA Regulatory Oversight Report —a vital information resource comprising observations from ...

FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs ...