Industry News

Keep up to date on financial industry news and the regulatory authorities through these resource links:

• FINRA and NFA Discuss Crypto Assets at Special Summit
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-05-10
• FINRA Publishes 2023 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-05-04
• Report From FINRA Board of Governors Meeting – March 2023
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-03-15
• FINRA Fines Webull $3 Million for Options Customer Approval Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-03-09
• FINRA Announces Departure of Enforcement Head Jessica Hopper
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-01-24
• FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2023-01-10
• Report From FINRA Board of Governors Meeting – December 2022
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-12-21
• New FINRA Foundation Research Examines Changing Investor Demographics, Preferences and Attitudes
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-12-15
• FINRA Promotes Jonathan Sokobin to Executive Vice President and Head of the New Office of Regulatory Economics and Market Analysis
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-12-01
• FINRA Creates Industry Diversity Advisory Committee
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-11-09
• FINRA Foundation Partners With Girl Scouts of the USA to Launch New Financial Empowerment Programming
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-11-01
• Firms Elect Edward Jones’ Penny Pennington to FINRA Board of Governors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-10-31
• FINRA Launches Machine-Readable Rulebook Initiative
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-10-21
• FINRA Fines Barclays Capital Inc. $2 Million for Best Execution Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-10-06
• FINRA Foundation Announces 2022 Military Spouse Fellows
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2022-10-06