Financial Industry Regulatory Authority
-
FINRA Securities Helpline for Seniors Marks 10th Anniversary With More Than $9.3 Million Recovered for Investors
on 04/01/2025 at 12:00 PM
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024. […]
-
FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
on 03/07/2025 at 12:00 PM
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct. […]
-
Report From FINRA Board of Governors Meeting – February 2025
on 03/05/2025 at 12:00 PM
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of […]
-
FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
on 02/04/2025 at 12:00 PM
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
-
By Building Wealth, Investors Power U.S. Economy
on 04/02/2025 at 3:23 PM
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and […]
-
SEC Charges Three Arizona Individuals with...
on 04/01/2025 at 5:19 PM
The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of t […]
-
SEC Votes to End Defense of Climate Disclosure...
on 03/27/2025 at 8:05 PM
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and […]
-
SEC Crypto Task Force to Host Four More...
on 03/25/2025 at 7:33 PM
The SEC's Crypto Task Force will hold four more roundtables in its ongoing series discussing crypto asset regulation. […]