The changes to the eligibility criteria for arbitrators are intended to professionalize the process, but an advocacy group ...

Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely ...

The Supreme Court just declined to hear a penny stock broker’s legal challenge to FINRA’s constitutionality. Despite it, a ...

The Supreme Court on Monday refused to hear a case, in which Alpine Securities claimed that the Financial Industry Regulatory ...

The high court declines to hear Alpine Securities’ argument that Finra, a private organization, is an unconstitutional ...

The U.S. Supreme Court declined on Monday to hear a challenge by broker-dealer Alpine Securities claiming that the ...

The US Supreme Court let the Financial Industry Regulatory Authority proceed with disciplinary proceedings against a ...

FINRA, which regulates the brokerage industry, has been focused on firms and their use of social media for several years. And ...

With compliance processes driven largely by regulatory requirements, the financial services sector could be forgiven for ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

"It is FINRA's position that, for multiple reasons discussed in its brief opposing Alpine's petition for writ of certiorari, ...

FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors. "Steve’s deep ...