Financial regulations

One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

Miguel Ballestas was discharged from the firm after allegations of insider trading.

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.

The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

Compensation levels rose approximately 7% last year despite mounting industry challenges.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.

Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.