FINRA's rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in ...

The Financial Industry Regulatory Authority’s proposed changes to rules around the supervision of remote workers is “fundamentally flawed” and hurts the regulator's ability to protect investors, ...

FINRA's Board of Governors held its final meeting of the year Dec. 10-11. The Board approved three rule proposals. It also reviewed FINRA's 2025 financial performance and approved FINRA's 2026 budget.

The Financial Industry Regulatory Authority has released a new report highlighting the growing influence of social media on ...

The adoption of the rules indicates that FINRA is taking concrete steps to modernize its regulatory framework toward the more flexible environment that proved effective during the pandemic period of ...

A former registered general securities representative has agreed to pay $10,000 to settle Financial Industry Regulatory Authority charges that he violated Municipal Securities Rulemaking Board rules ...

RBC Capital Markets, LLC agreed to pay more than $280,500 to settle Financial Industry Regulatory Authority charges that it violated the Municipal Securities Rulemaking Board’s suitability rules when ...

The Financial Industry Regulatory Authority changed some of its rules on continuing education in order to help registrants who have stepped away from the industry retain their qualification for up to ...

The New Year may not be so happy for firms that employ a high number of registered reps with disciplinary histories. By Mark Schoeff Jr. Finra is starting the New Year with more latitude to rein in ...

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. That's just one of several ...