FINRA

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

The move will streamline investigations and standardize sanctions, the regulator says.

The rep claimed the firm misled him when they recruited him from PNC Bank.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.