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

For decades, the bulk of the retail brokerage industry has moved away from selling expensive, proprietary funds.

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

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 ...

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

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 ...

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

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are ...

The average investor has no idea what the various financial advisory designations mean, let alone the requirements for ...

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 ...