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

Reliant Holdings, Inc. (OTCQB: ONAR), a leading marketing technology company and network of marketing agencies, today ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

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 ...

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...

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

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

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

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

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory ...

However, in a podcast published by Finra, Gregg Ruppert, executive vice president and head of member supervision, says there ...