FINRA

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

Like the industry it oversees, the regulator has rising technology and compensation costs.

The regulator is looking into whether brokers made appropriate share class recommendations for the plans as a result of the new law.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Experts say these loans deserve a second look, partly because of a series of federal reforms in recent years.

Michael Solomon oversaw a staff of 350 people at the regulator, according to his new employer.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.