Discover key details of FINRA Rule 3210, essential for advisors and brokers opening accounts at firms where they aren't ...

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its ...

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

A broker-dealer owned by the precursor to Osaic Holdings, a giant network of B-Ds and registered investment advisors, ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

The brokerage industry self-regulator cautions that scams are on the rise and increasingly hard to detect.

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

Oyster, a full-service consulting firm providing compliance, risk, operational, and technology advisory services for the financial services industry, is continuing to strengthen its Broker-Dealer ...

The Financial Industry Regulatory Authority has proposed to further restrict brokers’ ability to borrow from or lend money to their clients or even family members. Finra filed a proposed rule with the ...

Amy Greer, D. McNair Nichols Jr. This alert will take a look at where the regulators focused their enforcement efforts against broker-dealers in 2023 and what firms can expect to see in 2024. Many of ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...