FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors. "Steve’s deep ...

The fine for violating MSRB rules was imposed as part of a wider FINRA disciplinary action that saw brokerage firm Calton & ...

The competing legal strategies appear contrary to Stifel’s public statements about defending its structured notes’ tactics.

SEC comissioner Hester Peirce and FINRA CEO Robert Cook stressed the importance of partnership between the two organizations ...

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over ...

The Staff’s most recent actions continue to set the stage for notice-and-comment rulemaking long-awaited by the digital asset industry.

When the brokerage industry self-regulator issues its 2024 financial report later this year, it will detail plans for ...

Kenneth John Malm of Suffern, N.Y., agreed to a seven-month suspension and a $10,000 fine, without admitting to or denying the findings by Finra, according to his letter of acceptance, waiver and ...

Regulatory attorneys and enforcement officials forecasted a changing but focused regulatory landscape ahead at the 2025 RegEd Engage Annual Conference today.

A FINRA panel urged firms to adopt real-time interventions and utilize FINRA Rule 2165 to prevent and investigate suspicious ...

The dual-role expert offers the panel a direct connection between conduct and consequences—illustrating not just whether the ...