FINRA

Yes, they’ll be going up in September — but not as much as you may have heard.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.

The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

The price hikes would come as early as 2022, and follow a budget deficit in 2019.

The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.

A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.

SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.

It’s the regulator’s largest restitution order this year.

Don’t expect significant changes anytime soon to longstanding complaints about conflicts of interest in the “issuer pay” model of the ratings business.