A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

FINRA published its 2025 Annual Regulatory Oversight Report (the “Report”) as “an up-to-date, evolving resource or library ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

Thrivent Financial for Lutherans and an affiliated investment adviser are asking a federal appeals court to review the SEC’s ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

Wondering how hard the Series 7 exam is? Learn about the pass rate, study tips, key details, and what it takes to ace this challenging FINRA exam!

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain ...