News Releases & Statements

WASHINGTON, D.C.—FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions.

WASHINGTON, D.C.—Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected “worst-of” structured notes.

WASHINGTON—FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media.

WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Finfluencer Followers and Social Media Scrollers: The Profile, Patterns, and Pitfalls of Social-Media-Informed Retail Investors.

WASHINGTON—FINRA announced today the launch of the Financial Intelligence Fusion Center (FIFC), a secure portal for FINRA and its member firms to share timely intelligence about cybersecurity and fraud threats and coordinate responses.

WASHINGTON—FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA's enforcement program and approved the allocation of last year’s fine monies.

FINRA today announced the appointment of four new Governors to its Board of Governors: Rostin “Russ” Behnam, Tim Carter, Dan Gallagher and Heather Traeger.

FINRA has ordered American Portfolios Financial Services, Inc. (APFS) to pay $4.6 million in restitution to customers impacted by the firm’s inaccurate representation of how it calculated its fees and its retention of undisclosed, surplus interest.

Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection from Financial Exploitation

Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics