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

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 ...

Two companies, Boustead Securities and Sutter Securities, as well as the firms’ former CEO, Keith Moore, filed a constitutional challenge in the U.S. District Court for the District of Delaware on ...

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

The Financial Industry Regulatory Authority (FINRA) announced two senior leadership appointments aimed at enhancing ...

Regulators are getting ready to drop the pattern day trading threshold from $25,000 to $2,000, opening the door for a wave of ...

The two firms are among the most prominent in the retail securities industry and financial advice market today.

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 ...

Not so fast, said one prominent securities attorney, Adam Pollet, partner, Eversheds Sutherland. In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation ...

A New York-based broker is suing FINRA over its demand for on-the-record testimony, claiming its calls amount to a subpoena without the benefits of the constitutional protections that come along with ...