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

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 ...

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

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

FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from ...

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

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

The tide is beginning to shift toward the wirehouse in its contentions that deferred pay is not protected by federal ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

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

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory ...