• FINRA charges Wedbush Securities with violations Monday, 18 Aug 2014 | 10:15 AM ET
    The logo for the Financial Industry Regulatory Authority is displayed in front of the New York office.

    FINRA charged Wedbush Securities with having shoddy risk controls, a flaw that allowed traders to flood U.S. markets and execute manipulative trades.

  • Wall Street watchdog backs HFT registration Tuesday, 20 May 2014 | 1:34 PM ET
    Richard Ketchum, chairman and chief executive officer of the Financial Industry Regulatory Authority (FINRA).

    High-frequency trading firms should be required to register with U.S. securities regulators, the head of Wall Street's self-funded regulator said.

  • Is your financial advisor cheating on you? Monday, 17 Mar 2014 | 4:45 PM ET

    Is your financial advisor being honest? Sharon Epperson and Suze Orman point out the red flags to look out for and what to do if you think you're being scammed.

  • 3 ways to grow your 401(k), no matter your age Tuesday, 11 Mar 2014 | 7:00 AM ET

    All generations of pre-retirees are facing some level of savings shortfall, but there are steps anyone can take to help build their 401(k).

  • Regulator deletes broker warning signs: Study Thursday, 6 Mar 2014 | 4:39 PM ET

    A study showed that the Financial Industry Regulatory Authority "routinely deletes" problematic information on brokers, The Wall Street Journal said.

  • Regulators eye Wall St for possible cyberattacks Friday, 7 Feb 2014 | 12:37 PM ET

    Wall Street's Financial Industry Regulatory Authority is examining efforts to protect businesses and customers from cybersecurity threats.

Law and Regulations