FINRA

Leaders at FINRA, Fidelity and ACA Foreside discussed the steps they take to safely market new investment products like ETFs and cryptocurrencies on social media and other platforms while staying in compliance with advertising regulations.

At FINRA's advertising regulation conference in Washington, D.C., leaders said they are looking at how broker-dealers are using large language models and AI translation services.

If successful, previously banned brokers might be free to "fleece your grandma" again, an expert warned.

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

Lawyers note the kinds of grievances the firm allegedly withheld are what potential clients look at when choosing advisors.

Fines levied by the Wall Street regulator have dwindled in recent years.

The arbitration decision comes more than a year after SW Financial was expelled from the industry for violating Regulation Best Interest.

A FINRA study found nearly 400 firms, or 65% of the broker-dealers surveyed, have some hand in crypto assets and trading, as the once-novel asset class becomes normalized. But that still doesn't make it normal for regulators.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.