Tag: FINRA

The SEC-approved rule aligning broker/dealer and adviser marketing standards could increase projected returns and communications, while raising new compliance concerns.

The new rule could accelerate the use of projected-return and retirement-income illustrations by broker/dealers.

The regulator’s latest policy agenda highlights upcoming guidance and rulemaking on artificial intelligence and electronic delivery, which could affect financial...

Senators Elizabeth Warren and Ron Wyden warned the self-regulator about the growing fraud associated with asset transfers between brokerages.

The potential change to how the CFP Board treats applicants with expunged convictions comes as FINRA considers a five-year statute...

Even when controlling for demographic variables, positive relationships remain, according to data from a joint study.

A FINRA conference panel discussed how timely notification of fraudulent activity can protect targeted clients and advisory firms.

As investment offerings become harder to explain, Financial Industry Regulatory Authority panelists say firms must strengthen governance, training and product...

According to FINRA, small broker/dealer firms should strategically use their limited resources to conduct effective due diligence on private and...

FINRA panelists said identifying vulnerable clients and navigating complex family dynamics are key to preventing fraud.

As ‘finfluencers’ shape how younger investors engage, firms and regulators are grappling with risks of compliance, fraud and financial literacy.

Recently released FINRA research shows 61% of surveyed investors aged 18 to 34 made investment decisions based on recommendations from...

Without one outsized fine, FINRA’s total fines in 2025 would have been 15% lower than the previous year, according to...

Understanding how financial literacy changes as men and women age is important for improving educational interventions and protective measures, according...

The program includes in-person training offered in partnership with Georgetown University’s McDonough School of Business.

Companies often miss the mark on diversity and inclusion when they treat it as a ‘checklist’ item, according to panelists...

FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...

The firm offered certain fee waivers which were not honored, per a recent regulatory filing.

Regulation Best Interest makes the top five, according to Eversheds Sutherland LLP.

Alerus names retirement services officer; FINRA appoints new board members; and T. Rowe board chair Stromberg steps down.