Sandra Dawn Grannum, Edward Scarillo Jr. A common phrase to abide by in the New Year is “out with the old, in with the new.” FINRA’s 2022 Report on its Examination and Risk Monitoring Program (the ...

The Financial Industry Regulatory Authority is looking for more information about how firms handled retail communications “concerning cypto asset products and services” in the wake of last week’s FTX ...

While it is pretty likely that anyone reading this is already familiar with the Wells process, I am going to start with a short history lesson. Way back in 1972, the SEC created an Advisory Committee ...

WASHINGTON--(BUSINESS WIRE)--FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening ...

A new report from the Financial Industry Regulatory Authority (FINRA) provides insights and observations from examiners on emerging issues affecting the industry, including surveilling potential use ...

The Financial Industry Regulatory Authority has penalized two financial advisors for accessing their cell phones while taking the Series 7 examination, according to recent announcements. David ...

The Financial Industry Regulatory Authority has suspended and fined four Northwestern Mutual Investment Services reps and a Pruco Securities rep for allowing imposters to sit in on their behalf and ...

The Financial Industry Regulatory Authority barred two brokers from the industry after accusing them of cheating on qualification exams last year. It marks the first time the regulator brought actions ...

The Financial Industry Regulatory Authority's just-released Examination and Risk Monitoring Program report gives broker-dealers insight into findings from recent oversight activities of FINRA's Member ...