Article 0
Report Highlights Third-Party Risk Landscape and Other New Topics; Includes Observations About Cybersecurity, Artificial Intelligence, Investment Fraud and OthersWASHINGTON—FINRA published today the...
View ArticleArticle 0
First Enforcement Action Charging Violations of FINRA Rule 4330WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program....
View ArticleArticle 1
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting...
View ArticleArticle 0
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including...
View ArticleArticle 2
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than...
View ArticleArticle 1
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working with Chairman Atkins, the other Commissioners and SEC staff to fulfill its vital mission of protecting investors...
View ArticleArticle 0
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the...
View ArticleArticle 0
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:
View ArticleArticle 0
FINRA recently proposed amendments to streamline and reduce unnecessary burdens regarding existing requirements addressing outside activities of broker-dealers’ associated persons. Unfortunately,...
View ArticleArticle 0
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
View Article