FINRA

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.

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

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.