- FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities
WASHINGTON, D.C.—FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions. - FINRA Announces Review of Higher-Risk Structured Products
WASHINGTON, D.C.—Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal prot … - FINRA Strengthens External Relations Leadership with Two Senior Appointments
WASHINGTON—FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media. - New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Finfluencer Followers and Social Media Scrollers: The Profile, Patterns, and Pitfalls of Social-Media … - FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats
WASHINGTON—FINRA announced today the launch of the Financial Intelligence Fusion Center (FIFC), a secure portal for FINRA and its member firms to share timely intelligence about cybersecurity and frau … - Report From FINRA Board of Governors Meeting – March 2026
WASHINGTON—FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA's enforcement program and … - FINRA Announces Appointment of Four New Board Governors
FINRA today announced the appointment of four new Governors to its Board of Governors: Rostin “Russ” Behnam, Tim Carter, Dan Gallagher and Heather Traeger. - FINRA Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest
FINRA has ordered American Portfolios Financial Services, Inc. (APFS) to pay $4.6 million in restitution to customers impacted by the firm’s inaccurate representation of how it calculated its fees and … - Report From FINRA Board of Governors Meeting – December 2025
Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection from Financial Exploitation - FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics
