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The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

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." The Financial ...

The rule of thumb for bank robbers is they rob banks because that’s where the money is. The rule of thumb for "bad brokers," ...

Bruce Kelly analyzes new 'bad broker' report and concludes that the states' insurance commissioners need a better brand of ...

The brokerage industry self-regulator fines J.K. Financial Services $65,000 over alleged violations involving Form CRS, Reg ...

Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...

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 ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

Editorial Note: We earn a commission from partner links on Forbes Advisor. Commissions do not affect our editors' opinions or evaluations. The Financial Industry Regulatory Authority, also known as ...

A proposal from the Financial Industry Regulatory Authority (FINRA) designed to make it more difficult for securities brokers to expunge customer disputes from their publicly available records ...