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- News Releases Statements - FINRA. org
FINRA recently proposed amendments to streamline and reduce unnecessary burdens regarding existing requirements addressing outside activities of broker-dealers’ associated persons Unfortunately, several recent statements published in news media mischaracterize FINRA’s proposal in a number of ways
- FINRA Publishes 2025 Regulatory Oversight Report
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs The report reflects FINRA’s commitment to providing transparency to member firms and the
- FINRA Announces New “FINRA Forward” Initiatives to Support Members . . .
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission The Three FINRA Forward initiatives:Modernizing FINRA Rules FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens Empowering Member Firm Compliance FINRA is
- FINRA Fines Apex Clearing $3. 2 Million for Violations Relating to Fully . . .
First Enforcement Action Charging Violations of FINRA Rule 4330 WASHINGTON—FINRA has fined Apex Clearing Corporation $3 2 million for violations related to its fully paid securities lending program This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure customer protection
- FINRA Orders Three Firms to Pay Over $8. 2 Million in Restitution to . . .
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc and Cambridge Investment Research, Inc —to pay more than $8 2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases FINRA did not impose any fines in connection with these matters in recognition of
- Whats New - FINRA. org
News Release FINRA Announces Appointment of New Public Governor May 22, 2025 Investor Insights Active vs Passive Investing May 20, 2025 Special Notice Special Notice – 5 15 25 2025 Involvement and Election Process Overview May 15, 2025 Election Notice Election Notice - 5 15 2025
- FINRA Orders Robinhood Financial to Pay $3. 75 Million in Restitution to . . .
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3 75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct “In recent years, the brokerage industry has continued to evolve and develop innovative services and technologies that have allowed
- FINRA Announces Appointment of New Public Governor
"Steve’s deep understanding of securities regulation and markets, combined with his experience across the public and private sectors, will be invaluable as the Board continues to help FINRA advance its mission of protecting investors and safeguarding market integrity," said FINRA Board Chair Scott Curtis “The Board of Governors plays a crucial role in helping FINRA continuously enhance
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