FINRA News and Updates
FINRA launches investor research and fraud protection tools in U.S. markets
As retail investors navigate heavy flows of market information and rising fraud risks, FINRA is introducing new digital tools aimed at improving investment research and scam awareness. The launch ...
FINRA finalizes outside activities rule under modernization push
FINRA is advancing its broader rule modernization effort with a completed overhaul of outside activities requirements and a new intraday margin framework. The changes are aimed at cutting ...
CFTC moves to classify certain event contracts as swaps
The U.S. derivatives regulator is seeking public feedback on a proposal to more explicitly define some event contracts as swaps under federal rules. The move covers contracts tied to sports, ...
New York secures crypto industry ban, up to $35 million from ex-Celsius CEO
New York has won financial penalties and a permanent industry ban against former Celsius Network chief executive Alex Mashinsky as regulators continue to pursue fallout from the crypto lender's ...
FINRA board advances four SEC rule filings as modernization effort continues
FINRA is moving ahead with a new set of regulatory changes after its board meeting in late September in Washington. The proposals aim to streamline compliance and membership review processes while ...
Revere Securities faces FINRA fine over small-cap IPO AML failures
Regulatory scrutiny of small-cap offerings tied to foreign-based issuers is intensifying as U.S. market watchdogs examine trading patterns and broker oversight. FINRA has fined Revere Securities ...
CFTC outlines crypto regulatory initiatives at New York blockchain symposium
U.S. crypto market structure remains a central policy issue as federal and state regulators continue to define oversight for exchanges, brokerages and decentralized networks. CFTC Chairman Michael ...
FINRA research highlights investment literacy gap among U.S. investors
Ahead of World Investor Week, new U.S. research shows advanced investment knowledge remains limited among people who invest outside retirement accounts. The study links stronger understanding of ...
U.S. crypto policy reset looms after Senate fails to advance Clarity Act
Years of congressional efforts to set a clear legal framework for digital assets are nearing another reset after the Senate fails to advance the Clarity Act ahead of the midterm elections. The ...
SEC proposes broader private-market access for non-wealthy investors
U.S. regulators are moving to widen access to private-market investments that have long been reserved mainly for wealthy individuals and certain finance professionals. The proposal includes a new ...
U.S. Senate Democrats block Clarity Act advance in setback for crypto policy
With Election Day less than 40 days away, the failed Senate vote is intensifying the political fight over digital asset regulation in Washington. Sen. Tim Scott argues the Clarity Act would have ...
FINRA bars former LPL broker over $1.7 million customer fund conversion
A regulatory case tied to customer account safeguards has resulted in a permanent industry ban for a former LPL Financial broker in California. The action centers on $1,731,000 moved from two ...
Morningstar expands advisor workflow tools for investment planning and compliance
Financial advisors face growing pressure to document the value of advice while keeping pace with changing regulatory expectations. Morningstar positions its Direct Advisory Suite as an integrated ...
FINRA consolidates oversight functions into unified regulatory operations program
FINRA says it has completed a major restructuring of its regulatory oversight model this summer, bringing member supervision, market oversight and enforcement into a single Regulatory Operations ...
American Portfolios faces $1.6 million FINRA penalty over UIT supervision failures
American Portfolios Financial Services is ordered to return more than $1.2 million plus interest to customers and pay a $400,000 fine over failures to supervise unit investment trust ...
U.S. CLARITY Act passage odds drop as Democrats press for tougher ethics terms
Momentum behind the CLARITY Act weakens in Washington as Senate Democrats resist Republicans’ latest attempt to secure enough support for the crypto market structure bill. The setback cuts ...
Senate Clarity vote tests push for U.S. crypto market rules
A Senate vote scheduled for September 15 is emerging as a key test of whether U.S. lawmakers can move faster on digital asset oversight after years of regulatory gaps. The debate centers on the ...
Meta opposes White House-backed AI regulator proposal in U.S. policy debate
A White House debate over how to police advanced artificial intelligence is drawing direct input from top technology executives as officials weigh a new industry oversight model. Meta CEO Mark ...
MEMX schedules MX2 testing and registration updates for members
MEMX is outlining a series of operational updates for market participants, including an upcoming MX2 user acceptance test and registration procedures for exchange members. The notices also cover ...
Blockchain Association urges Senate to advance Clarity Act vote
With less than four weeks before a key Senate procedural vote, pressure is building around the Clarity Act as crypto industry advocates warn that late changes could derail the legislation. The ...
CFTC oversight clash puts U.S. prediction markets under fresh scrutiny
Regulatory tensions around U.S. prediction markets are intensifying as federal officials, exchanges and platform operators openly dispute how the fast-growing sector should be supervised. A CFTC ...
