The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations and ...

FINRA's mission is protecting investors and ensuring the integrity of U.S. securities markets. Have you ever wondered who protects investors -- and how? If you invest, it can pay to know about FINRA, ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

Last year was a very active year for the Financial Industry Regulatory Authority Inc., with brokerage firms hit with a 63% increase in fines compared to the previous year, with $89 million in ...

Firms often rely on third-party vendors for a variety of functions. These vendors might also add risk. A successful cyberattack on a third-party vendor could have ramifications for associated firms.

It was recently reported that the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) began probing Digital Asset Treasury companies (DATs), raising a ...

FINRA on Friday penalized Wedbush Securities of Los Angelese $150,000 for various compliance and supervision shortcomings ...

Finra regulators said they are keeping a close eye on account “double dipping” activity—a practice where registered representatives move clients from brokerage accounts where clients have paid ...

The Financial Industry Regulatory Authority has fined three individuals a total of $40,000 for alleged rule violations in connection with what FINRA says were improper allocations of new issue ...

Have you ever wondered who protects investors—and how? If you invest, it can pay to know about FINRA, the Financial Industry Regulatory Authority. FINRA is a not-for-profit organization authorized ...