FINRA

The bank will pay $1.25 million for alleged supervisory failures.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.

Robert Cook’s pay far outshines that of other SRO chiefs.

A PKS rep allegedly sold $190 million worth of non-traded REITs and BDCs without disclosing the commissions.

Listening to a customer service call produced a big surprise. It also showed how firms can take one position to fight complaints in private, but another in public.

A Financial Action Task Force note on digital asset oversight is “one of the biggest threats to crypto today,” a research executive said.

FINRA Rule 3210 typically requires permission for brokerage accounts.