Washington is weighing a FINRA style regulator for AI. FINRA's own record suggests caution, however, and the standards bodies ...

The self-regulatory body for financial brokerages has been plagued by concerns about conflict of interest, raising questions ...

Andrew Sather, co-host of The Investing for Beginners Podcast, described the regulatory decision to scrap the Pattern Day ...

Series 7 and Series 63 are the most common financial securities licenses Mark Cussen, CMFC, has 13+ years of experience as a writer and provides financial education to military service members and the ...

Advisors looking to sharpen client conversations around fraud prevention now have data pointing to where the biggest blind ...

The proposed regulator, modelled on the Financial Industry Regulatory Authority, would review AI safety with industry ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

FINRA today announced that investor education and protection veteran Christine Kieffer will serve as Senior Vice President of ...

FINRA has confirmed the outcome of its latest Board of Governors elections, held during the regulator's annual member firms meeting last week. Scott Curtis, chief operating officer at Raymond James ...

Discover the best Series 66 exam prep courses. Learn how the best prep courses compare in terms of costs, course structure, ...

The Trump administration is considering plans for an independent regulator to vet the safety of artificial intelligence ...