FINRA | Investment Executive https://www.investmentexecutive.com/tag/finra/ Canada's news source for financial professionals Fri, 20 Mar 2026 18:04:06 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png FINRA | Investment Executive https://www.investmentexecutive.com/tag/finra/ 32 32 Broker-turned-finfluencer-turned-fraudster pleads guilty https://www.investmentexecutive.com/news/broker-turned-finfluencer-turned-fraudster-pleads-guilty/ Fri, 20 Mar 2026 18:04:06 +0000 https://www.investmentexecutive.com/?p=534421 Ex-rep posed as a successful trader online, duping investors

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]]> Brokers to get US$100-million rebate: FINRA https://www.investmentexecutive.com/news/brokers-to-get-us100-million-rebate-finra/ Thu, 19 Mar 2026 14:29:59 +0000 https://www.investmentexecutive.com/?p=534221 SRO collected excess fees due to strong markets, trading revenue

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]]> FINRA reforms aim to ease burdens https://www.investmentexecutive.com/news/finra-reforms-aim-to-ease-burdens/ Mon, 16 Mar 2026 20:26:54 +0000 https://www.investmentexecutive.com/?p=533928 SRO's proposals seek to enhance regulatory efficiency

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]]> Canaccord failed to flag suspicious trading: U.S. regs https://www.investmentexecutive.com/news/canaccord-failed-to-flag-suspicious-trading-u-s-regs/ Fri, 06 Mar 2026 17:30:06 +0000 https://www.investmentexecutive.com/?p=533357 Enforcement action targets weaknesses in AML controls, compliance

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]]> Ex-advisor convicted of ripping off NBA players https://www.investmentexecutive.com/news/ex-advisor-convicted-of-ripping-off-nba-players/ Thu, 05 Mar 2026 19:45:20 +0000 https://www.investmentexecutive.com/?p=533242 Former clients overcharged, had assets misappropriated

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]]> Former broker charged in ‘free rider’ case https://www.investmentexecutive.com/news/from-the-regulators/former-broker-charged-in-free-rider-case/ Wed, 04 Mar 2026 09:00:23 +0000 https://www.investmentexecutive.com/?p=533092 Rep allegedly exploited credit brokers provide to facilitate new client trading

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]]> FINRA launches consultation on arbitration https://www.investmentexecutive.com/news/finra-launches-consultation-on-arbitration/ Tue, 03 Mar 2026 14:17:45 +0000 https://www.investmentexecutive.com/?p=532995 Review will consider far-reaching reforms to dispute resolution mechanism

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]]> FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

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