Financial regulations

The firm, which claimed it missed when Michigan made the requirement a law, called the oversight a "mistake."

The company’s survival may depend on a continuing security awareness training program.

While surprised by Donald Trump's decision to add the reinstatement of the 1930s-era banking law to the GOP platform, Republican lawmakers at the convention in Cleveland maintained that Trump is a better choice for the economy and the financial system.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

Firm had sought to quash lawsuit from two former employees who alleged numerous securities laws violations, hostile work environment and wrongful termination.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.

Social media is included in regulatory requirements.

The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.

Allen Holeman "willfully failed to amend" U4 forms to disclose tax liens as required, according to the regulator.

Meanwhile, the SEC hints that more actions could follow the $425 million in penalties levied against the brokerage firm.

Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.

The wirehouse was hit with sanctions from the SEC and FINRA for disregarding securities rules, misusing clients’ cash and not disclosing product costs.

An arbitration panel ruled that the firm had failed to properly supervise the adviser.

The strategy raises tricky tax reporting and regulatory questions.

Robert Cook, an attorney and former SEC director, will have to help the regulator navigate complicated matters , from calls for an industrywide fiduciary standard to heightened congressional scrutiny.

A recent agency memorandum cited several legal cases to back up its opinion.

If an advisor hasn't adopted new technology, the CEO asks, are they putting their own interests ahead of their clients?

Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.