An attorney representing Frank Black in his case against FINRA believes the issue of whether the self-regulatory organization ...

FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these ...

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...

New coursework reduces hiring risks, increases screening and onboarding efficiency, and allows administrators to vet candidates early ...

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain ...