FINRA

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

The emergency rules for brokers operating out of home offices since the pandemic will expire at the end of June.

Helen Grace Caldwell told her employees about her side film hustle but neglected to add that her clients were helping her fund it.

The GameStop saga is long over, but the retail investors who drove it could turn into long-term clients if wealth management firms adapt to changing times.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

FINRA Foundation's finding that nearly nine out of 10 adults have financial worries presents advisory practices with a basic yet pressing question.