Advisers at ‘Forefront’ of Digital Fraud Detection, Prevention
A FINRA conference panel discussed how timely notification of fraudulent activity can protect targeted clients and advisory firms.
Tag: FINRA
More Complex Products Mean Greater Oversight Demands
As investment offerings become harder to explain, Financial Industry Regulatory Authority panelists say firms must strengthen governance, training and product...
What Small Firms Need to Know About Due Diligence
According to FINRA, small broker/dealer firms should strategically use their limited resources to conduct effective due diligence on private and...
Protecting Senior Investors from Scams Becomes Priority
FINRA panelists said identifying vulnerable clients and navigating complex family dynamics are key to preventing fraud.
FINRA Panel: Social Media as an Investment Guidance Tool
As ‘finfluencers’ shape how younger investors engage, firms and regulators are grappling with risks of compliance, fraud and financial literacy.
What Advisers Can Learn From ‘Finfluencers’
Recently released FINRA research shows 61% of surveyed investors aged 18 to 34 made investment decisions based on recommendations from...
FINRA Had Fewer Cases, More Settlement Money in 2025
Without one outsized fine, FINRA’s total fines in 2025 would have been 15% lower than the previous year, according to...
As Adults Age, Gender Gap in Financial Literacy Becomes More Problematic
Understanding how financial literacy changes as men and women age is important for improving educational interventions and protective measures, according...
FINRA Launches Crypto, Blockchain Education Program
The program includes in-person training offered in partnership with Georgetown University’s McDonough School of Business.
FINRA Panel: Corporate Inclusion Needs a New Approach
Companies often miss the mark on diversity and inclusion when they treat it as a ‘checklist’ item, according to panelists...
Raymond James Fined Over Mutual Fund Monitoring
FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...
Cambridge Expects $500,000 Fine for Promised Fee Waiver Failures
The firm offered certain fee waivers which were not honored, per a recent regulatory filing.
FINRA’s Top Enforcement Issues of 2023
Regulation Best Interest makes the top five, according to Eversheds Sutherland LLP.
Retirement Industry People Moves – 2/23/24
Alerus names retirement services officer; FINRA appoints new board members; and T. Rowe board chair Stromberg steps down.
New SEC Rule Will Require Major Liquidity Providers to Register as Dealers
The targets of the rule likely include major hedge funds trading in government securities as buyers and sellers.
FINRA Annual Report Highlights Crypto, Cybersecurity, Reg BI
The industry regulator provided areas of focus for the year ahead to member firms.
SEC Suggests Retirement Assets Should Not Count Toward Accredited Investor Threshold
The regulator’s report on the accredited investor definition noted that many only qualify because of their DC plan assets.
FINRA Proposal Would Allow Broker/Dealers to Use Projected Performance in Marketing to Retirement Plans
The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing.
FINRA Study Tests Senior Vulnerability to Social Security Scams
Older adults without cognitive impairment are still vulnerable to scams, FINRA and JAMA found.
FINRA Expels Brokerage Firm Monmouth for Violating Reg BI
Monmouth is the second firm to be expelled by FINRA for failing to supervise its representatives’ trading.