FINRA

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

Data aggregators provide big advantages for RIAs, but criticism is mounting.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

Be careful when giving gifts over $100 in value.

If you do not fully understand the regulations, you’re not alone.