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 ...

Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...

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

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

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

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

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

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA ...

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

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...