FINRA

FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

Like the industry it oversees, the regulator has rising technology and compensation costs.

The regulator is looking into whether brokers made appropriate share class recommendations for the plans as a result of the new law.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Experts say these loans deserve a second look, partly because of a series of federal reforms in recent years.

Michael Solomon oversaw a staff of 350 people at the regulator, according to his new employer.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Regulator puts brokers on notice about its top concerns for 2019.

Our industry is not becoming more consolidated. It’s becoming more fragmented.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.