FINRA

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.

Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.

My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

The policy change may prompt more defendants to reach settlements, an attorney says.

After serving 18 months in jail, Craig Rothfeld knew “other people would need help too.”

“Americans need to know they have access to their money," Treasury Secretary Steven Mnuchin said.

Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?

The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

A client's lawsuit claims the snafu caused users of its app “to miss out on some of the highest single-day market gains in recorded history.”