FINRA

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.

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.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

Fiduciary responsibility, pay discrimination and FINRA remote work rules for broker-dealers are just some of the issues facing the wealth management industry.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.