FINRA

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Can FINRA suspend the advisor’s license?

It’s another example of how impactful an update to broker standards of conduct could be.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Regulators including FINRA are looking at ways to help spur innovation.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

Lehman Brothers had collapsed. Panic, instability and a recession followed. Ten years later, the lessons from that era echo even more resoundingly.