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In March 2025, the Financial Industry Regulatory Authority (FINRA) published and requested comment on a proposed new “outside activities” Rule 3290 that would combine and replace R...
In February 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its Rule 2210(d)(1)(F) that would permit member firms to include performance projection...
On March 2, 2026, the Financial Industry Regulatory Authority (FINRA) announced a series of enhancements to its enforcement program as part of its broader “FINRA Forward” initiativ...
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulatio...
Tamer Çetin is suing FINRA, alleging the agency terminated him for "unacceptable conduct" in 2025. The firing came several months after he'd taken three months of medical leave.
The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.
On March 20, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) with an online brokerage firm, censuring and fining the firm $450,000 for alleged deficiencies in its...
On March 30, 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered...
For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for the annual examination of the FCM’s operation...
On April 2, 2026, the Financial Industry Regulatory Authority (“FINRA”) Investor Education Foundation (the “Foundation”) published a brief (the “Brief”) examining the demographic c...
In 2024, the board approved an increase in member firm fees spread out over a five-year period. But revenue from higher transaction volume is prompting “lively conversations” about...
It started with JPMorgan in December 2021 - a $125 million fine for WhatsApp recordkeeping failures
The Financial Industry Regulatory Authority (“FINRA”) and the U.S. Department of the Treasury (“Treasury”) (as part of a public-private partnership) have recently issued guidance r...
SEC Prescribes Higher FINRA Gift Limit - On February 12, 2026, the Securities and Exchange Commission approved an amendment to Financial Industry Regulatory Authority (FINRA) Rule...
The Financial Services Authority (FSA) has launched a public awareness campaign addressing financial fraud linked to entities and platforms offering investment services in securiti...
On April 13, 2026, the Staff of the Division of Trading and Markets (Staff) of the U.S. Securities and Exchange Commission (SEC) issued a statement detailing their views on the bro...
FINRA and consumer advocates are raising alarms about online scams that are driving fraud losses into the hundreds of billions of dollars.
On 24 March 2026, the Financial Conduct Authority issued a Final Notice to Dinosaur Merchant Bank Limited, imposing a financial penalty of £338,000 for failing to detect and report...
FINRA unveiled a cybersecurity reporting portal for member firms as Cetera and Ameriprise joined Hightower, Mercer, Edelman Financial Engines and others in allegedly suffering cybe...
Leonardo Duarte Costa v. J.P. Morgan Securities LLC., - FINRA Rule 13206 states that “no claim shall be eligible for submission to arbitration under the Code where six years have e...
On April 13, 2026, staff in the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued a Staff Statement Regarding Broker-Dealer Registration of Certain...
A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal executive branch amounts to " wishful thinking" that "collaps...
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...
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