Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that ...

The penalty is the latest reminder that off-channel communications is still a live issue with regulators.

Brokers would be able to provide investors with performance projections under a rule change being proposed by the U.S.

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...

Finra wants to give brokerage firms more authority to pause suspicious transactions before investor money disappears. The industry self-regulator last week asked for public comment on a package of ...

Chapman has been CCO of the Berthel Fisher subsidiaries since 2020. They are comprised of several financial services businesses within the firm, including two independent broker-dealers, an ...

Not so fast, said one prominent securities attorney, Adam Pollet, partner, Eversheds Sutherland. In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation ...

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The phrase “FINRA exam” refers to a category of qualification exams that are administered by the Financial Industry Regulatory Authority (FINRA). There are several of these exams (typically identified ...

Liz Manning has researched, written, and edited trading, investing, and personal finance content for years, following her time working in institutional sales, commercial banking, retail investing, ...