Summary FINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
Arbitration is an important means for resolving disputes involving customers, FINRA member firms and their associated persons. FINRA’s Dispute Resolution Services (DRS) arbitration forum provides a fair and efficient alternative to litigation, promoting investor protection and market integrity.
Proposed Rule Filing Relating to Simplified Arbitration
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Finfluencer Followers and Social Media Scrollers: The Profile, Patterns, and Pitfalls of Social-Media-Informed Retail Investors.
WASHINGTON—FINRA announced today the launch of the Financial Intelligence Fusion Center (FIFC), a secure portal for FINRA and its member firms to share timely intelligence about cybersecurity and fraud threats and coordinate responses.
WASHINGTON—FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA's enforcement program and approved the allocation of last year’s fine monies.
FINRA today announced the appointment of four new Governors to its Board of Governors: Rostin “Russ” Behnam, Tim Carter, Dan Gallagher and Heather Traeger.
FINRA has ordered American Portfolios Financial Services, Inc. (APFS) to pay $4.6 million in restitution to customers impacted by the firm’s inaccurate representation of how it calculated its fees and its retention of undisclosed, surplus interest.
Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection from Financial Exploitation
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics
The Pace of New Investors Entering the Market has Slowed, Investors are Less Comfortable With Risk, Younger Investors Turn to Finfluencers WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research , Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study , which offers insights i
FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million for failing to reasonably supervise Class A mutual fund recommendations, resulting in customers paying unnecessary fees through recommendations that were potentially unsuitable or not in customers’ best interest.
FINRA has fined First Trust Portfolios L.P. $10 million for providing excessive non-cash compensation in connection with the distribution of First Trust investment company securities and related misconduct.