Tamer Çetin is suing FINRA, alleging the agency terminated him for "unacceptable conduct" in 2025. The firing came several months after he'd taken three months of medical leave.

Rebecca asked not to use her full name, but she wanted to share her full story.

A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal ...

While the splashy headlines about the SEC’s enforcement of off-channel reporting rules may not be hitting our newsfeeds ...

FINRA is getting rid of the 2001 Pattern Day Trader (PDT) rule and replacing it with new intraday margin requirements. Here’s ...

FINRA's steady decline in enforcement actions in recent years suggests a "kinder, gentler" stance toward the industry the watchdog agency is charged with policing. Still, a corresponding increase in ...

The U.S. Securities and Exchange Commission has officially greenlit a landmark proposal from the Financial Industry ...

FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media. Chris Rosello joined FINRA on April 6 as ...

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The ...

Qualstar Corporation (OTC: QBAK) (the “Company” or “Qualstar”), a trusted provider of scalable data storage and high-efficiency power solutions, announced that the Financial Industry Regulatory ...

Citing $15.9 billion in reported fraud, witnesses also ask Congress for tax relief and expanded advisor access.

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...