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

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, ...

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

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

BrokerCheck.org is maintained by the Financial Industry Regulatory Authority (FINRA), which oversees the firms that sell stocks, bonds, mutual funds and other securities. The website provides ...

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

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...