FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

Finra is proposing registration requirements for some back-office supervisory positions. In a notice for comment released today, the Financial Industry Regulatory Authority Inc. proposed a new ...

The Ripple-owned Hidden Road is now a Financial Industry Regulatory Authority member, which expands its broker-dealer capabilities. Prime brokerage Hidden Road, which was recently acquired by Ripple ...

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic ...