FINRA

Industry watchdogs stayed busy trying to root out elder fraud and off-channel communications while plaintiffs lawyers' questioned firms' sweeps policies and regulators' basic authority.

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.

A Dodd-Frank safeguard is playing out behind closed doors for the second consecutive time with the omissions of most details from the GAO's triennial report.

Brokers from 15 firms have been suspended, fined and sometimes — but rarely — fired in a sweep that stretches back to 2022.

FINRA must let the SEC weigh in before it can cast out one of its members, a three-judge panel of the U.S. Court of Appeals for the District of Columbia found.

Big firms would be paying $415,000 a year more by 2029, while most brokers would see a far smaller hit.

A lawyer in the case says his legal team was able to present text messages showing a Stifel wealth manager had been touting complex structured notes as low-risk investments.

Is your firm promoting diversified advisors? Can your clients relate to you despite cultural differences? Those questions and more were addressed by leaders of top wealth firms and regulatory agencies during FINRA's Diversity Leadership Summit this week.

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.