FINRA

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.

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.

The SEC, FINRA and other agencies have been closely watching social media posts related to financial advice. Consultants share how to attract young investors on social media without encountering regulatory pitfalls.

A broker argues the Supreme Court's recent decision in the Jarkesy case means he should get to defend himself against fraud allegations before a jury.

FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

The broker-dealer self-regulator argues that the enforcement decline is a result of its success in driving bad actors from the industry.

The terminations come amid a renewed push by firms to haul employees back into the office.

A recent poll by the FINRA Investor Education Foundation found that consumers trusted a financial statement made by AI nearly as much as the same statement made by an advisor — in some situations.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.