Conners & Co. agreed to pay monetary sanctions totaling more than $41,000 to help settle allegations by the Financial ...

In November 2025, U.S. Securities and Exchange Commission (SEC) staff issued a no-action letter permitting registered representative-owned ...

Under the terms of the securities purchase agreement, the Company has agreed to sell to certain institutional investors an aggregate of approximately $1.479 million of the Company's securities, ...

Finra released its May statistics for margin accounts. Breaking news: There is a LOT of leverage in this market. Margin debt surged 54% year over year to a record $1.4 trillion in May, according to ...

A.D. Banker offers a defined Series licensing path by adding Series 52 and Series 24 exam preparation; creating a ...

"It's hard to know whether a decrease in enforcement is a statistical blip or early evidence of [a] meeker, milder FINRA in ...

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push for a permanent ...

FINRA eliminated the PDT rule, removing the $25,000 minimum for frequent day traders. HOOD and peers rose as investors anticipated higher retail trading activity and revenues. SCHW, ETOR and COIN ...

FINRA published today its 2026 Industry Snapshot, an annual report that provides aggregate data about member firms, registered representatives, and market activity. The comprehensive report provides ...

After a year when it fended off questions about its legitimacy raised by a lawsuit by broker-dealer, FINRA started 2026 in the hot seat before Congress. At hearings in March, some lawmakers questioned ...

FINRA’s 2026 Oversight Report introduces a new section on generative AI, urging enterprise-level governance, testing and monitoring, enhanced cybersecurity and vendor management, and oversight of ...

FINRA Enforcement Head Bill St. Louis (left) discusses his agency's latest regulatory oversight report with his fellow regulators Bryan Smith, Ornella Bergeron and Feral Talib during a recent podcast.