News Releases & Statements

FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.

Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows

FINRA published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights and observations from recent activities of FINRA’s regulatory operations to use in strengthening their compliance programs.