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

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 ...

Is FINRA constitutional? According to the D.C. Circuit’s November 2024 opinion in Alpine Securities Corp. v. FINRA, FINRA proceedings may ...

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

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

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

A 59-year-old man from Irvine, California, was sentenced to 87 months in prison for his involvement in an investor fraud ring ...

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

The Financial Industry Regulatory Authority (Finra) has released an extensive list of the ways registered representatives and their firms are violating Regulation Best Interest—the retail securities ...

For firms opting into the Remote Inspections Pilot Program, RegEd provides the necessary tools to manage remote inspections while meeting FINRA’s oversight and reporting requirements. For those ...

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