FINRA

Rule 11870 permits member firms to use them rather than obtaining an affirmative authorization from the client — in certain situations.

In most cases, assume that your "outside business" is not affiliated with your current employer.

The veteran FAs’ one complaint blotted their records for seven years.

Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.

The rare move to set aside the regulator’s ruling came more than a decade after the rep ran into trouble by adding notes about his client into a software program.

The rep reeled in at least a dozen victims to the complex scam even though he was suspended from the industry for a different case, according to investigators.

More than one-third of U.S. brokerage clients opened their first accounts in 2020, according to new research from the FINRA Foundation.

Using a Paycheck Protection Program loan to fund businesses outside your day job may be costly for brokers.

Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."

In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.