FINRA

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

The emergency rules for brokers operating out of home offices since the pandemic will expire at the end of June.

Helen Grace Caldwell told her employees about her side film hustle but neglected to add that her clients were helping her fund it.

The GameStop saga is long over, but the retail investors who drove it could turn into long-term clients if wealth management firms adapt to changing times.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.