FINRA

My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

The policy change may prompt more defendants to reach settlements, an attorney says.

After serving 18 months in jail, Craig Rothfeld knew “other people would need help too.”

“Americans need to know they have access to their money," Treasury Secretary Steven Mnuchin said.

Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?

The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

A client's lawsuit claims the snafu caused users of its app “to miss out on some of the highest single-day market gains in recorded history.”

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.

The major custodian lost its second arbitration case — with even more filings likely — over the services it provided to a brokerage later proved to be engaged in massive fraud.

For many, the document is a significant source of confusion. Fortunately, one of the most persistent errors is easily correctable.

Make sure not to confuse it with the SEC’s self-reporting program.

Diversity statements and conferences are well and good but don’t go far enough. Here’s what will.

FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.

The arbitrators based their ruling “on the defamatory nature of the information.”

The SEC examined approximately 2,180 RIAs in 2019.

Lack of oversight and potentially risky procedures are — or should be — in the fine print of these wildly popular tools.

SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.