News Releases & Statements

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New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social 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.
FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats
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
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
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
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
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
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
The Pace of New Investors Entering the Market has Slowed, Investors are Less Comfortable With Risk, Younger Investors Turn to FinfluencersWASHINGTON—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
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.
FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
FINRA has fined First Trust Portfolios L.P. $10 million for providing excessive non-cash compensation in connection with the distribution of First Trust investment company securities and related misconduct.