FINRA will discontinue its current practice of reviewing firms’ draft customer letters that use “negative consent” to effect ...

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. Processing Content That's just ...

Brokers would be able to provide investors with performance projections under a rule change being proposed by the U.S.

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 ...

The Financial Industry Regulatory Authority (FINRA), a non-governmental, self-regulatory organization, recently published a report outlining the potential regulatory implications for securities and ...

The Financial Industry Regulatory Authority fined and suspended a former Osaic advisor after the regulator said he accepted a $1 million bequest from a client in violation of Finra rules. Kenneth John ...

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 ...

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...