The firm's wealth management division surveillance systems failed to catch suspicious transactions from February 2016 to ...

Andrew Sather, co-host of The Investing for Beginners Podcast, described the regulatory decision to scrap the Pattern Day Trader rule in language no listener could miss. "It's like, let's let kids ...

On July 24, 2026, the Financial Industry Regulatory Authority (“FINRA”) published Regulatory Notice 26-15, seeking input on potential changes ...

This proposed rule seeks to replace two longstanding, often-criticized rules—Rules 3270 and 3280—with a unified framework intended to simplify compliance, reduce ambiguity and reflect the realities of ...

The Financial Industry Regulatory Authority (FINRA) on July 9, 2026, released Notice 26-14, which seeks comment on a proposal to modernize Rule ...

As the implementation date for the SEC’s Regulation Best Interest approaches, FINRA is taking steps to amend the language in its own rules on suitability to make them better align with the SEC's ...

The Financial Industry Regulatory Authority has proposed to further restrict brokers’ ability to borrow from or lend money to their clients or even family members. Finra filed a proposed rule with the ...

The SEC approved Friday a Finra rule designed to rein in brokerages with a history of misconduct or that employ a high number of registered representatives with disciplinary records. The rule imposes ...

The Securities and Exchange Commission has signed off on a Finra rule that would establish a minimum fee of several thousand dollars for broker requests to clear their records of customer disputes.

Financial professionals who recommend clients buy a security or financial product are held to ethical standards that can be enforced by law. One such standard is known as the suitability rule, which ...

Under a new FINRA proposal, brokers who have a side hustle selling antiques online would no longer risk fines and censures for not reporting the business to their firm. Processing Content That's just ...

Washington is weighing a FINRA style regulator for AI. FINRA's own record suggests caution, however, and the standards bodies AI already has can do most of the job.