Thrivent is prodding the SEC to respond to a 21-month-old rulemaking petition to allow securities-industry firms to arbitrate their customer disputes outside of Finra.

The Massachusetts Supreme Court ruling against the online trading app last month could create “more breathing room” for other states to follow through on their own fiduciary regulations.

Rookie speculators try to strike it big on short-term investments that often act like lottery tickets

Another bucket of cold water threatens the once-hot trend of amateur day trading

A July decision by the U.S. Court of Appeals for the D.C. Circuit could ultimately undermine the very core of FINRA's mission. Today, we are asking a fascinating question: Is FINRA unconstitutional? Recent decisions say...maybe?

Utah-based Alpine Securities is challenging the constitutionality of FINRA. Given recent judicial decisions from more conservative courts, some legal scholars think it may succeed.

FINRA, the self-regulatory organization (SRO) responsible for overseeing broker-dealers in securities markets, now faces constitutional scrutiny about its structure, enforcement proceedings, and sanctions. In July, Judge Justin R. Walker of the U.S. Court of Appeals for the D.C. Circuit issued a concurrence that signaled genuine skepticism about FINRA’s constitutional status.

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