FINRA Articles

The SEC has proposed rescinding its investment-adviser pay-to-play rule. Learn what remains in force and how SEC, FINRA, and MSRB rules differ.

The SEC's amended Regulation S-P is now in force for smaller entities. Learn how incident response, customer notification, and vendor oversight connect to broker-dealer compliance and FINRA exam preparation.

The SEC's new Retail Fraud Working Group puts retail-investor scams, account takeovers, and market manipulation in sharper focus. Here is what FINRA exam candidates and new finance professionals should understand.

FINRA's June 2026 board actions put remote inspections and hybrid-work supervision back in focus. Here's what exam candidates and new reps should understand now.

FINRA's proposed Rule 3290 would replace Rules 3270 and 3280 with a new framework for outside activities and outside securities transactions. Here's what SIE and Series 7 candidates should know while the proposal is still pending at the SEC.

The SEC's June 11, 2026 proposal to rescind Reg NMS Rule 611 and Rule 610(e) is a major market-structure development. Here's what exam candidates and new reps should understand now.

The SEC's latest Reg BI case and FINRA's 2026 findings show why costs, conflicts, and recommendation analysis matter for new reps and exam candidates.

FINRA's proposed Rule 2166 would give broker-dealers a five-business-day fraud delay for any adult customer, while updates to Rules 4512 and 2165 would expand trusted-contact and temporary-hold tools.

FINRA exams in June 2026 are not being reinvented. They are becoming more legible: fewer experimental questions, clearer remote-testing boundaries, and a licensing path that rewards knowing exactly which exam buys you which kind of permission.