- 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 - 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, …
