FINRA

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

FINRA Foundation's finding that nearly nine out of 10 adults have financial worries presents advisory practices with a basic yet pressing question.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.