- 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 - New FINRA Foundation Research Examines Shifting Investor Behaviors, Preferences and Attitudes
The Pace of New Investors Entering the Market has Slowed, Investors are Less Comfortable With Risk, Younger Investors Turn to FinfluencersWASHINGTON—The FINRA Investor Education Foundation (FINRA Foun … - FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures
FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million for failing to reasonably supervise Class A mutual fund recommendations, … - FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
FINRA has fined First Trust Portfolios L.P. $10 million for providing excessive non-cash compensation in connection with the distribution of First Trust investment company securities and related misco … - FINRA Foundation and AFCPE® Present the 2025 FINRA Foundation Military Spouse Fellows
Fellowship Program Provides Military Spouses with Best-in-Class Financial Counseling Training and Enriching Career Opportunities - FINRA Foundation Releases Findings on Fraud Awareness Among Investors
Half of Investors Do Not Recognize Warning Signs of Fraud; Findings Released in Light of World Investor WeekWASHINGTON—In light of World Investor Week (Oct. 6-12), the FINRA Investor Education Foundat … - Report From FINRA Board of Governors Meeting – September 2025
FINRA’s Board of Governors met September 17-18. The Board announced the approval of four rule proposals, approved proposed amendments to FINRA’s pattern day trading rules, and received updates on the …
