FINRA

Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.

The regulator would generate an additional $225 million per year from the fee increases.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

CEO Robert Cook has launched a task force and started assessing his own actions, he said in a panel at the Quad-A Vision conference.

Sales are tumbling and gravitating to different products as Wells Fargo settles a FINRA case and researchers examine the defunct fiduciary rule.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

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.

Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.

The hackers claim to be officers from the regulatory agency who have documents requiring immediate attention.

Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.