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

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

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

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...

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

FINRA published its 2025 FINRA Regulatory Oversight Report, which highlights areas identifying compliance gaps and observing ...

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

FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) addressing alleged violations committed by the respondent, ...

Alpine Securities Corp.'s recent reprieve from securities industry expulsion without SEC review still leaves it with an ...

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

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