FINRA

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.

FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?