The Wall Street watchdog is facing criticism from lawmakers, along with two lawsuits, that could theoretically redefine the ...

A former Hartsdale securities broker has been banned from the industry for six months, fined $10,000 and ordered to return ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

Discover what a Series 6 license is, the requirements to obtain it, and why it's essential for professionals in the financial services industry.

Looking for the best FINRA Series exam prep? Read our in-depth Securities Training Corporation review to see if STC is worth ...

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged ...

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

Of the penalized firms, Edward Jones paid the largest amount in restitution: $4.4 million, according to industry self-regulatory organization Finra. Osaic and Cambridge paid $3.1 million and $ ...

On December 20, 2024, FINRA requested public comment on its proposed rule changes to Rules 5110 (Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of ...

UBS has agreed to pay nearly $3.5 million to settle allegations that it failed to properly supervise brokers engaging in short-term trading of preferred stocks. The alleged supervisory failures ...

In a series of settled enforcement actions, the U.S. Financial Industry Regulatory Authority Inc. (FINRA) ordered the three firms — Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, ...