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 ...

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

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

Webuy Global Ltd. (NASDAQ: WBUY) (“Webuy” or the “Company”), a leading AI-driven e-commerce and travel platform, today provided an update regarding its Nasdaq listing status and ongoing strategic ...

The topics reflect areas where FINRA has observed gaps in firm compliance programs as well as areas of emerging or increased risk. The report contains new topics, including a section addressing ...