FINRA News

FINRA Foundation Releases State-by-State Financial Knowledge Findings
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the N …
FINRA Statement on Chairman Atkins’ Confirmation
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working with Chairman Atkins, the other Commissioners and SEC staff to fulfill its vital mission of protecting investors …
FINRA Securities Helpline for Seniors Marks 10th Anniversary With More Than $9.3 Million Recovered for Investors
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more tha …
FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including …
Report From FINRA Board of Governors Meeting – February 2025
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reportin …
FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FI …
FINRA Publishes 2025 Regulatory Oversight Report
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforceme …
FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms …
Report From FINRA Board of Governors Meeting – December 2024
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overvi …
FINRA Highlights Metaverse Impact on Securities Industry
The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models …