The Financial Industry Regulatory Authority plans to address two regulatory hot spots for firms this week at its board of governors meeting, including procedures to stop reps from cheating on exams ...

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 ...

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 ...

Proponents say special purpose acquisition companies help ordinary investors participate in private equity markets. Regulators are concerned about conflicts and fees in the complicated public ...

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, or Finra, has begun an exam sweep to learn more about how broker-dealers are partnering with social media influencers, as well as their other online ...

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 ...

A recent report that details Finra's inability to detect R. Allen Stanford's long-running, $7.2 billion fraud clearly shows that the securities industry self-regulator has gaping and significant ...