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

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

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

A Wall Street institution has been ordered to pay more than seven million dollars after US regulators found longstanding ...

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

SogoTrade, Inc. has agreed to pay a $75,000 fine and accept a formal censure after FINRA found that the broker-dealer failed ...

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, ...

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 ...

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

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 ...