News Releases View

FINRA Strengthens External Relations Leadership with Two Senior Appointments

Mon, 20 Apr 26 12:00:00 +0000

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

New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media

Thu, 02 Apr 26 12:00:00 +0000

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.

FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats

Tue, 31 Mar 26 12:00:00 +0000

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.

Report From FINRA Board of Governors Meeting – March 2026

Thu, 12 Mar 26 12:00:00 +0000

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 Announces Appointment of Four New Board Governors

Tue, 06 Jan 26 12:00:00 +0000

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 Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest

Tue, 30 Dec 25 12:00:00 +0000

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.

Report From FINRA Board of Governors Meeting – December 2025

Mon, 22 Dec 25 12:00:00 +0000

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

FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance

Tue, 09 Dec 25 12:00:00 +0000

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

New FINRA Foundation Research Examines Shifting Investor Behaviors, Preferences and Attitudes

Thu, 04 Dec 25 12:00:00 +0000

The Pace of New Investors Entering the Market has Slowed, Investors are Less Comfortable With Risk, Younger Investors Turn to Finfluencers

WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study, which offers insights i

FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures

Wed, 03 Dec 25 12:00:00 +0000

FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million for failing to reasonably supervise Class A mutual fund recommendations, resulting in customers paying unnecessary fees through recommendations that were potentially unsuitable or not in customers’ best interest.