The Financial Industry Regulatory Authority (FINRA) is once again proposing changes to how broker-dealers supervise some of the work of advisors registered with independent broker-dealers, touching ...

State regulators warn FINRA’s proposed Rule 3290 could leave gaps in oversight of brokers’ side businesses and private deals.

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

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." Processing Content ...

Shankar allegedly signed customers names on the annuity applications using electronic signature software. Finra said he engaged in this activity from Nov. 21, 2022, to Jan. 23, 2024. An appendix to ...

Forbes contributors publish independent expert analyses and insights. I write about building wealth with crypto and alternative investments. In response to the undeniable impact of digital assets on ...

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