The regulator behind a controversial proposal to rewrite rules governing brokers’ outside business activities is taking the ...

Brokers are subject to periodic audits, which check whether a firm and its employees are conducting competent and honest business. If a broker is found to be non-compliant, FINRA can bring ...

FINRA regulates one critical part of the securities industry—member brokerage firms doing business in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with ...