FINRA

The regulator would generate an additional $225 million per year from the fee increases.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

CEO Robert Cook has launched a task force and started assessing his own actions, he said in a panel at the Quad-A Vision conference.

Sales are tumbling and gravitating to different products as Wells Fargo settles a FINRA case and researchers examine the defunct fiduciary rule.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

Yes, they’ll be going up in September — but not as much as you may have heard.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.

The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.