Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that ...

The penalty is the latest reminder that off-channel communications is still a live issue with regulators.

Brokers would be able to provide investors with performance projections under a rule change being proposed by the U.S.

According to InvestmentNews, the panel’s award included about $5.375 million in compensatory damages plus $125,000 in costs.

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...

Not so fast, said one prominent securities attorney, Adam Pollet, partner, Eversheds Sutherland. In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation ...

Jessica Hopper, head of the influential securities regulator for the brokerage industry, is stepping down in February, with Christopher Kelly stepping in on temporary basis. The Financial Industry ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

Chapman has been CCO of the Berthel Fisher subsidiaries since 2020. They are comprised of several financial services businesses within the firm, including two independent broker-dealers, an ...