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

Finra stressed the rule is optional. It would provide a safe harbor for firms that choose to use it. The proposal also contains longer holds for senior exploitation cases. Finra wants to significantly ...

On May 1, 2024, the Financial Industry Regulatory Authority (FINRA) proposed a new series of rules—FINRA Rule 6500 Series—regarding reporting of securities lending transactions pursuant to the ...

The adoption of the rules indicates that FINRA is taking concrete steps to modernize its regulatory framework toward the more flexible environment that proved effective during the pandemic period of ...

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

A riskless principal involves brokers executing identical market orders for clients. Learn how this regulated process works ...

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 ...

The Financial Industry Regulatory Authority (FINRA), a non-governmental, self-regulatory organization, recently published a report outlining the potential regulatory implications for securities and ...

WASHINGTON--(BUSINESS WIRE)--FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm ...

FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain key regulatory ...

Under a new FINRA proposal, brokers who have a side hustle selling antiques online would no longer risk fines and censures for not reporting the business to their firm. That's just one of several ...