Brokers and industry groups are greeting a FINRA proposal meant to relax advisors' obligation to report side hustles like weekend bartending gigs with a big "thanks but no thanks." Processing Content ...

The Financial Industry Regulatory Authority (Finra) has joined the chorus of outcries over trading halts in GameStop shares with a notice that reminds broker-dealers what their best execution and ...

A broker filed a suit in Utah federal court that claims holding FINRA hearings over remote videoconferencing denies his right to a fair defense. After FINRA brought disciplinary charges against Alpine ...

The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

When it comes to protecting investors from broker misconduct, all eyes are focused on whether the SEC will amend Regulation Best Interest, which requires brokers to act in the best interest of their ...

Bad brokerages all too willing to look past an advisor's checkered past have a new hoop to jump through before potentially bringing them on board. Processing Content Under new rules that began on Sept ...

The Financial Industry Regulatory Authority is investigating some brokers who took forgivable Paycheck Protection Program (PPP) loans and other aid for pandemic relief for possible improprieties. In ...

Traders say their word is their bond. But that may not always apply to their indications of interest, or IOIs. The Financial Industry Regulatory Authority issued a notice in late May reminding traders ...

A new report by Finra designed to help brokers avoid conflicts of interest encourages them to adopt a code of conduct that sounds similar to the fiduciary standard followed by investment advisers.