Social Media Ideas for Finra

Every Broker-Dealer Tracks Completion, But Almost Nobody Tracks Readiness

A.D. Banker offers a defined Series licensing path by adding Series 52 and Series 24 exam preparation; creating a single, FINRA- and MSRB-aligned platform covering first exam to pr...

FINRA to Review of 'Higher-Risk' Structured Products

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

FINRA Opens Sweep Focused on Concentrations in High-Risk Structured Notes

FINRA moves to make remote inspections permanent for brokerages

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push...

FINRA Expels New York Broker/Dealer for Churning

Reid & Rudiger's co-founders were barred from the industry after clients paid $2 million in commissions and incurred $2.7 million in losses from high-volume trades.

NFA Seeks to Ease Member Requirements Regarding Annual Questionnaire Filings and Branch Office Supervision

FINRA Snapshot Shows Large Broker/Dealers Grew Market Share in 2025

FINRA shows that industry consolidation led to fewer firms despite more registered representatives in 2025, and that dual registration for broker/dealer and fee-based investment ad...

Breaking New Ground- SEC and NFA Sign First-Ever Memorandum of Understanding

The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) announced an unprecedented step in regulatory coordination. On May 21, the SEC and NFA annou...

Robinhood, TradePMR Launch RIA Referral Program

Robinhood and TradePMR’s RIA referral program is live for a select group of advisors and clients; separately, executives said TradePMR will keep Wells Fargo as a custody and cleari...

Alejandro Hernandez III J.D., Joins Finseca and NAIFA, Reinforcing ARH Global Advisors' Commitment to Fiduciary Excellen...

I am honored to have been accepted as a member of both Finseca and the National Association of Insurance and Financial Advisors (NAIFA). MANHATTAN, N.Y., July 6, 2026 /PRNewswire-P...

Kalshi to collect employment info from customers trading in some high-risk markets

Kalshi will start collecting customer employment information for trading in certain high-risk markets.

New Notice in a Nutshell briefing: FCA proposes to fine individual £99,600 for failure to disclose overseas investigatio...

Last month the Financial Conduct Authority (FCA) published a Decision Notice that has been issued to Carlos Ricardo Fuenmayor, the CEO and sole controller of BancTrust Investment B...

Kalshi to collect employment info from customers trading in some high-risk markets

Kalshi will start collecting customer employment information for trading in certain high-risk markets.

FINWIRES Launches Real-Time Financial News Terminal for Global Investors

FINWIRES is a free real-time financial news terminal covering US markets, insider trading, commodities, global indices from 50+ countries, and macroeconomic research — designed f...

$3B Former Wells Fargo FiNet Team Launches Own RIA

The 22-person Jacksonville, Fla., team, led by four partners, will use First Clearing for custody and TradePMR for middle-office support.

FCA review of financial promotion approvers finds some firms need to raise standards

On 27 May 2026, the Financial Conduct Authority (FCA) published its findings following a review which assessed ten authorised firms that approve financial promotions for businesses...

BBB refers prediction market Kalshi to state regulators over ad inquiry

A BBB advertising watchdog escalated its review of Kalshi after the prediction market platform declined to participate in an inquiry into influencer disclosure practices.

BBB refers Kalshi to regulators over influencer ad practices

The Better Business Bureau’s National Advertising Division has referred Kalshi to regulatory authorities after the prediction market platform declined to participate in a review of...

BBB National Programs Says Kalshi Ignored Advertising Watchdog’s Inquiry

The BBB National Programs says Kalshi refused to cooperate with an inquiry into its advertising practices The National Program’s National Advertising Division has alerted state att...

Show Me the Fees - SEC Risk Alert Zeroes in on Economic Conflicts of Interest

The SEC’s Division of Examinations(Division) issued a Risk Alert on June 9, highlighting its observations during a review of the economic incentives that investment advisers and th...

DFPI Orders Crypto Kiosk Operator to Shut Down California Operations Over Alleged DFAL Violations

On May 18, the DFPI announced a settlement agreement with a crypto kiosk operator requiring the company to cease operating all of its digital financial asset kiosks in California b...

FIA backs SEBI’s options strike framework, seeks minimum standards and safeguards

Global derivatives body supports intraday strike additions but calls for harmonised exchange rules, strike floors and protections for existing positions

Kalshi Integrates with StarCompliance to Bring Institutional Traders Inside the Compliance Perimeter

Kalshi has integrated with StarCompliance, giving financial firms a way to monitor employee trading in prediction markets alongside activity in equities, bonds and derivatives. Th...

Kalshi to collect employment info from customers trading in some high-risk markets

Kalshi will start collecting customer employment information for trading in certain high-risk markets