FINRA today announced the appointment of four new Governors to its Board of Governors: Rostin "Russ" Behnam, Tim Carter, Dan ...

FINRA oversees the organization’s mission to protect investors and ensure market integrity for broker-dealers handling ...

Regulator says flawed disclosures and weak oversight led to excess fees and hidden interest at American Portfolios.

Dan Gallagher is one of four new appointments to the Board. Other selections include Rostin Benham, the former chair of the ...

A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, ...

A Finra panel decision yesterday in an arbitration between J.P. Morgan Securities and a former advisor with the firm offered rare insight into ways the firm might use the Form U5—the official document ...

FINRA’s 2026 Oversight Report introduces a new section on generative AI, urging enterprise-level governance, testing and ...

AstraBit was granted membership by the Financial Industry Regulatory Authority (FINRA) on December 16, 2025, registering as a broker-dealer in the United States. Broker-dealer registration is publicly ...

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

Fewer U.S. adults have non-retirement investment accounts than three years earlier, and many retail investors struggle with ...

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...

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 ...