FINRA

There are red flags that may be pointing to elder fraud in a client account.

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.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

The decision comes a decade after the collapse of the infamous scheme.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

Key tips for navigating the regulatory landscape.