Erez Law reports arbitration is a faster, private dispute resolution process compared to formal, lengthy litigation, ...

FINRA highlights the success of its recent compliance efforts in a new report, while signaling the beginning of a process to modernize and update its membership application process. The Financial ...

For more than two decades, one single number has quietly defined who actively trades in U.S. markets: $25,000. That’s the ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and ...

Well, Memorial Day is just past us, so we all know what that means: it’s time for FINRA to conduct its first annual assessment of its member firms to determine whether they should be branded a ...

The Financial Industry Regulatory Authority’s proposed changes to rules around the supervision of remote workers is “fundamentally flawed” and hurts the regulator's ability to protect investors, ...

In the enforcement action, FINRA imposed an $850,000 fine on a financial services firm, alleging that social media posts made by influencers on the firm’s behalf contained exaggerated, unwarranted, ...

The Financial Industry Regulatory Authority changed some of its rules on continuing education in order to help registrants who have stepped away from the industry retain their qualification for up to ...

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 ...

The New Year may not be so happy for firms that employ a high number of registered reps with disciplinary histories. By Mark Schoeff Jr. Finra is starting the New Year with more latitude to rein in ...

A registered general securities representative has agreed to pay $10,000 to settle Financial Industry Regulatory Authority charges that he violated the Municipal Securities Rulemaking Board's fair ...

RBC Capital Markets, LLC agreed to pay more than $280,500 to settle Financial Industry Regulatory Authority charges that it violated the Municipal Securities Rulemaking Board’s suitability rules when ...