Firms often rely on third-party vendors for a variety of functions. These vendors might also add risk. A successful cyberattack on a third-party vendor could have ramifications for associated firms.

FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or ...

The Financial Industry Regulatory Authority (FINRA) has proposed a sweeping update to how broker‑dealers handle outside business activities ...

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 ...

FINRA, the primary regulator for more than 3,000 brokerage firms, on Tuesday released its annual regulatory overview of the industry and among the topics covered in the report were generative ...

WASHINGTON--(BUSINESS WIRE)--FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and ...

The Securities and Exchange Commission drove changes at FINRA over the last three years, but the agency is refusing to share publicly exactly what it did and why, a watchdog report said. Processing ...

WASHINGTON--(BUSINESS WIRE)--FINRA announced today the launch of its new Crypto and Blockchain Education Program, which is designed to provide FINRA member firms and their employees with educational ...

Discover how the Series 23 exam, offered by FINRA, qualifies you as a general securities principal, testing your investment banking and regulatory knowledge.

According to FINRA, the firm failed to report any customer complaints via FINRA Rule 4530 filings and amendments to Forms U4 and U5, from at least January 2018 through September 2021, despite ...

According to FINRA’s complaint, which was filed against Walesa in August with FINRA’s internal Office of Hearing Officers, ...

In a letter to Finra president and CEO Robert Cook, the Public Investors Advocate Bar Association (PIABA) urged the regulator to rethink a recent practice that allows broker-dealers to seek removal of ...