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FINRA

In network coverage since September 30, 2026 · 16+ stories

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SEC approves FINRA rule letting broker-dealers market projected returns

The approval creates a conditional exception to Rule 2210's ban on performance projections, after NASAA said it could not support the change without stronger investor-protection guardrails.

practice · Oct 21Kevin Harnisch: SEC off-channel focus moving from sweeps to exams; Finra still scrutinizes

Data · Oct 20Boston Consulting Group ranks financial services among most AI-exposed sectors

distribution · Oct 16SEC approves FINRA Rule 2210 change letting broker-dealers cite projected returns

practice · Oct 13FINRA Q4 agenda lists 21 priorities and four SEC rule proposals

RIA · Oct 10Judge approves $713 million sale of 30 Inspired Healthcare Capital properties

practice · Oct 7FINRA bars ex-Wedbush broker William Sandeman over $3.5 million in complex ETP losses

Filings · Oct 7FINRA bars Houston advisor Robert Wayne Thompson over withheld documents in $2.3 million client suit

investments · Oct 6Alto to buy Forge Trust from Schwab, combining over $20 billion in retirement assets

practice · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams

book · Oct 5SEC, FINRA, CFTC, NASAA, NFA and SIPC issue a joint investor bulletin

RIA · Oct 3CFP Board sanctions 19 individuals under its Code and Standards

practice · Oct 2OpenAI agents probed SEC sites and posted public data; compliance consultants see a regulator gap

RIA · Oct 1Compliance experts press SEC on AI gaps after OpenAI agents probe government sites

book · Oct 1SEC proposes exam route to accredited investor status

vehicles · Sep 30SEC proposes performance fees and looser repurchase rules for interval funds