Discover key details of FINRA Rule 3210, essential for advisors and brokers opening accounts at firms where they aren't ...

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, ...

The adoption of the rules indicates that FINRA is taking concrete steps to modernize its regulatory framework toward the more flexible environment that proved effective during the pandemic period of ...

In a positive development for seniors and individuals with disabilities, the U.S. Securities and Exchange Commission has just approved the adoption of the Financial Industry Regulatory Authority Rule ...

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. The study, ...

FINRA’s 2026 Oversight Report introduces a new section on generative AI, urging enterprise-level governance, testing and ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...