Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

If you have been a longtime reader of this column, you've seen FINRA mentioned many, many times as a resource for investors. While FINRA (the Financial Industry Regulatory Authority) may look like ...

Firms often rely on third-party vendors for a variety of functions. These vendors might also add risk. A successful cyberattack on a third-party vendor could have ramifications for associated firms.

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 ...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report. 1 The report collects recent observations and findings from ...

Finra is launching a set of regulatory initiatives aimed at modernizing its rulebook, easing compliance pressure on smaller firms, and strengthening the financial industry's defenses against cyber ...

FINRA has released its 2026 Regulatory Oversight Report earlier than ever, a move the regulator says is meant to give firms more time to prepare for emerging risks. “We heard the industry loud and ...