Is FINRA constitutional? According to the D.C. Circuit’s November 2024 opinion in Alpine Securities Corp. v. FINRA, FINRA proceedings may ...

Alpine Securities Corp.'s recent reprieve from securities industry expulsion without SEC review still leaves it with an ...

FINRA published its 2025 FINRA Regulatory Oversight Report, which highlights areas identifying compliance gaps and observing ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

A 59-year-old man from Irvine, California, was sentenced to 87 months in prison for his involvement in an investor fraud ring ...