FINRA

Companies registered with the Financial Industry Regulatory Authority(FINRA) will soon be required to report fractional shares as a whole number. These new changes, which are set to take effect in the first quarter of 2025, aim to…

The Financial Industry Regulatory Authority (FINRA) has fined M1 Finance $850,000 due to lapses in the fintech firm's supervision of social media influencers. This enforcement action involves the firm's influencer marketing campaign for…

The Financial Industry Regulatory Authority (FINRA) has announced a fine of $1.6 million against Morgan Stanley Smith Barney LLC. This penalty stems from the firm's repeated failures to promptly close out failed inter-dealer municipal…

The Financial Industry Regulatory Authority (FINRA) has fined online brokerage firm TradeStation Securities $700,000 for anti-money laundering (AML) failures from 2016 to 2022. This is the second penalty the company has received from U.S.…

The United States Financial Industry Regulatory Authority (FINRA) has revealed that about 70% of retail communications concerning cryptocurrencies violate its rule of misleading claims. According to an official report,…

The Financial Industry Regulatory Authority (FINRA) has named Feral Talib as its new Executive Vice President and Head of Surveillance and Market Intelligence. Talib will assume his new role on 2 January 2024. Dedicated Forex cloud…

The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $24 million against BofA Securities. This action is a consequence of the firm's alleged involvement in over 700 instances of spoofing and related supervisory failures…

Canada has the highest percentage of Generation Z investors, finds a new study by the Financial Industry Regulatory Authority (FINRA), the regulator for the private brokerage industry in the United States. The watchdog said nearly…