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 ...

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 ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

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 ...

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 ...

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 ...

The brokerage industry saw a modest increase last year in the number of registered representatives—industry parlance for brokers—even as the number of firms in the field ticked down, according to a ...

The Financial Industry Regulatory Authority Inc.'s first enforcement action related to Regulation Best Interest involved a small fine – $5,000 – but demonstrated the broker standard of conduct is ...

Firms can pursue normal collection efforts to get paid back, but that's expensive and often fruitless. “There's a lot of cost ... and in a collection proceeding, you might get 10% or 20% [of brokers] ...