The Latest Breaking News from Finra

The approval comes amid calls from the crypto industry for regulatory clarity from the Gensler-led SEC.

Multiple employees were fired by Wells Fargo for utilizing mouse jigglers to fake that they were at work.

Renewed rules for workplace inspections every few years are being blamed for mass return-to-office efforts.

FINRA inquiry into TMTG's social media plans raises concerns and potential impacts on the company's future.

Financial advisors ghosting clients or breaching the fiduciary standard can be dealt with by filing a complaint with the US SEC, FINRA, and the CFP Board.

The Securities Investor Protection Corp. will help get your cash and securities back if your broker-dealer fails. Here's a look at how SIPC works.

Morgan Stanley, a leading financial services firm, has been fined by US regulator FINRA for violations related to municipal securities, highlighting the im...

Just because a financial adviser has credentials after their name doesn’t mean they meet the same rigorous standards as others do. How to figure out who you can trust.

From today's decision by Judge Jia Cobb in Seltzer v. Financial Industry Regulatory Authority: Plaintiff Susan Seltzer participated in an arbitration proceeding before the Financial Industry Regulatory Authority (FINRA). The arbitration concluded with a written award that was published online. Seltzer alleges that the award defamed her by incorrectly describing…

While this is a very stressful time, it’s also an opportunity to reassess values, visions and dreams and get plans in place for the future.

Gen Z has developed its own unique investing behaviors that reflect its status as the first truly "digital native" generation.