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

FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

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

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

and Compliance). With respect to the Care Obligation, many of FINRA’s latest findings and observations center around firms’ obligations with respect to recommendations of complex or risky ...

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

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 ...

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 ...