FINRA

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

The regulator wants the exam process to be a dialogue with firms and advisers.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.